How a company handles an internal investigation of a potentially serious matter can make a significant difference in convincing a regulator to back off from bringing an enforcement action or seeking a big penalty. In-house counsel have a crucial role to play in making strategic decisions concerning the scope of the investigation, handling whistleblowers, protecting attorney-client privilege for the company, interacting with regulators, and deciding whether to hire outside counsel.
FINRA Rules and the arbitration landscape are constantly changing. FINRA members and practitioners must stay sensitive to the issues and new developments to reduce the chances of surprise awards and enforcement actions.
Greater Richmond Compliance Roundtable, Speaker, "Cybersecurity and Data Protection for Compliance Professionals"
Speaker, Polycon2018 conference in Nassau, Bahamas
Murphy & McGonigle is proud to partner with ETHIC Intelligence to present the ISO 19600 & ISO 37001 Training Session here in our offices April 16-20, 2018. Seats are going fast, don't delay and miss out on a great program! For more information contact firstname.lastname@example.org
Its not too late to register! In a LIVE Webcast on January 17, 2018, experts from NERA Economic Consulting, Murphy & McGonigle, Pomerantz LLP, and Quilling Selander Lownds Winslett Moser P.C. will provide an overview of the recent trends, developments, and legal challenges surrounding the Fraud-on-the-Market Doctrine. They will also highlight the implications and inferences of the developments to the securities class action landscape, and provide practical tips and strategies to avoid potential risks and pitfalls surrounding this topic. Join us!