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Oct 28, 2020 CLE(Webcast) Reg BI and Form CRS: Good Faith Implementation and Compliance (Compliance Round-Up: City Bar Series on COVID-19’s Impact on Ethics and Compliance)
Sep 4, 2020 BlogsCompliance Series Recap: The CARES Act Loan Programs Revisited
May 5, 2020NY City Bar Association Issues Report on CCO Liability: New Recommendations for the SEC (Investment Adviser Association)
Mar 12, 2020 City Bar In The NewsIgnoring Warnings Earns US Bank Compliance Officer a $450K Personal Fine (Corporate Counsel)
Mar 4, 2020 City Bar In The News“Operation Codebreaker” and the Culture of Compliance (Harvard Law School Forum on Corporate Governance)