Search for: "KATHLEEN FUREY"
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5 Nov 2009, 2:22 pm
Kathleen Furey, a senior SEC attorney, recently outlined five areas of priority that will be the subject of focus for the examiners: • Insuring custody of client assets and accuracy of evaluations; • Assuring that required disclosures are made to customers, particularly those relating to trading conflicts; • Reviewing marketing material, with a… [read post]
3 Sep 2014, 5:36 pm
– Philadelphia lawyer Scott Badami of Fox Rothschild on the firm’s blog, Fair Housing Defense What Broadcasters Don’t Know About Political Advertisers Can’t Hurt Them (At Least With the FCC) – Kathleen A. [read post]
