Search for: "Office of Disciplinary Counsel v. Ling"
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24 Jan 2012, 1:28 am
InBanushi v Epstein ;2012 NY Slip Op 30123(U); ; January 11, 2012; Sup Ct, NY County; Docket Number: 402693/10; Judge: Doris Ling-Cohan "In May, 1998, Banushi hired Epstein to litigate a case that was already in progress. [read post]
3 Dec 2022, 7:08 am
Pix Credit hereWhile interest in this case, HKSAR v Lai Man Ling [2022] 4 HKC 410, [2022] HKDC 355, reported in September 2022, may be diminishing, its relevance requires sustained examination. [read post]
18 Dec 2023, 2:48 pm
The Chief Compliance Officer (“CCO”) of a registered investment advisor (“RIA”) must conduct a review of the adviser’s compliance policies and procedures annually. [read post]
22 Dec 2020, 9:43 am
Especially in these turbulent times, year-end administrative upkeep and planning for the next year are crucial, particularly for general counsels, Chief Compliance Officers (“CCOs”), and key operations personnel. [read post]
