Recently, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 15-07 which alerts its member firms to the new and amended consolidated rules on membership (FINRA Rule 0190), transactional payments to unregistered persons (FINRA Rule 2040), and sanctions (FINRA Rule 8311). Securities industry and other officials should have a thorough understanding of the risks and consequences of the new and modified standards for the businesses.
Tim was interviewed by Tom Fox for the Compliance & Ethics Report Podcast on the implications of new anticorruption indictments related to FIFA in the Eastern District of New York. (Compliance & Ethics Report #223)
The In-House/Outside Litigation Counsel Group provides a forum for in-house lawyers and outside litigation counsel who represent corporate clients to examine the legal and business aspects of the working relationship between in-house and outside counsel. The members of the Group discuss topical issues that have an impact on corporate litigation. The Group also seeks the perspectives of the courts, practitioners who represent consumers, and public sector litigants.
“Schemers and Scammers, 2015 Edition: The Never Ending Battle Against Fraud,” presented to top 10 mutual life insurance company (November 9, 2015).
Tim spoke as a panelist discussing the differing approaches taken by corporate counsel as opposed to government attorneys in the course of regulatory investigations for the Virginia Bar Association’s 21st Annual Administrative Law Conference in Richmond, Virginia.
“Chinese Mega-IPO Goes Public in a Globalized Capital Market,” ABA International Law Section, Montreal, October 23, 2015