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PEI’s Private Fund Compliance Forum
2 May 2012, 5:00 am by Doug Cornelius
- What impact will it have on entertaining requirements • FCPA - Knowing who you’re doing business with? [read post]
Compliance Building - http://www.compliancebuilding.com
Successfully managing the resources of your office
1 May 2013, 9:56 am by Doug Cornelius
They see the flow of cash, employee expenses, political contributions and entertainment expenses. [read post]
Compliance Building - http://www.compliancebuilding.com
Successfully managing the resources of your office
1 May 2013, 9:56 am by Doug Cornelius
They see the flow of cash, employee expenses, political contributions and entertainment expenses. [read post]
Compliance Building - http://www.compliancebuilding.com
Securities Roundup: FINRA Fines Rodman & Renshaw $315K, Convictions Reached in $1B High Yield Fraud Scam Involving FBI, SEC Sues Wwebnet over $2.1M Fraud, and Ex-Hedge Fund Manager Settles Unsuitable Investment Recommendation Allegations for Over $421
11 Sep 2012, 6:23 pm
Also fined over this matter are ex-Rodman & Renshaw CCO William A. [read post]
Stock Broker Fraud Blog - http://www.stockbrokerfraudblog.com/
Northern District's 2007 Trademark Case Filings Down 9%
22 Jan 2008, 3:19 am
Entertainment Television, Inc. v. [read post]
Chicago IP Litigation Blog - http://www.chicagoiplitigation.com/
Implementing Compliance Practices for Social Media
17 Mar 2010, 11:39 am by Doug Cornelius
He joined NASD in 1984 and was previously with Davenport & Company LLC. [read post]
Compliance Building - http://www.compliancebuilding.com
Cole-Frieman & Mallon 2016 Second Quarter Update
22 Jul 2016, 11:01 am by nedaj
Cayman Islands Publishes LLC Law. [read post]
Hedge Fund Law Blog - http://www.hedgefundlawblog.com