SPAC Related Class Actions
Alston & Bird – The number of special purpose acquisition company (SPAC) IPOs has skyrocketed. Securities Litigation partner Andy Sumner…
Reg BI Exams: Reasonably Available Alternatives and Record Keeping
InvestorCOM Inc. – With Reg BI examinations and enforcement actions expected to increase in 2021, firms are looking to meet…
AI Just Made Real-time Risk Management Easier
FIS – The securities game can be a risky business. There are plenty of ways for broker-dealers to get burned.…
Reg BI Exams: The Care Obligation
InvestorCOM Inc. – With a new SEC chair sworn in and regulators conducting Regulation BI exams that go beyond ‘good-faith’…
Thinking Out Loud – 2020: Obstacle or Disruptor for the WM Industry?
Appway – How has the pandemic accelerated the disruption of the wealth management industry and its transformation to a more…