Heightened Enforcement on Dually Registered Broker-Dealers and Advisers: Best Compliance Practices You Should Know

Broadcast Date: Wednesday, October 09, 2019 from 3:00 pm to 4:30 pm (ET)
corporate law
Meghan J. Carey
Timothy C. Foley

SPEAKERS' FIRMS:

About Murphy & McGonigle

Murphy & McGonigle serves the litigation, enforcement defense, and regulatory counseling needs of clients across the full spectrum of the financial services industry – from national banks, broker-dealers, investment advisers, and hedge funds, to national and international securities markets and exchanges. Many of the firm’s partners formerly served in senior positions in the SEC, US Department of Justice, FINRA, CFTC, and the New York State Department of Financial Services, and several served in senior executive positions in major financial institutions on Wall Street.

Website: https://www.mmlawus.com/

About Alston & Bird LLP

Founded in 1893, Alston & Bird is a leading national law firm and has offices in Atlanta, Beijing, Brussels, Charlotte, Dallas, Los Angeles, New York, Raleigh, San Francisco, Silicon Valley, and Washington, D.C. The firm's attorneys provide a full range of services to domestic and international clients conducting business around the world. Counseling clients from what was initially a local context quickly expanded to regional, then national levels, and now spans a global economic environment. Alston & Bird has overlaid its broad range of legal skills and business knowledge with a commitment to innovation and technology.

Website: https://www.alston.com/en

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