The Knock Knock That’s No Joke!
May 5, 2011 -- Marcum’s Breakfast Event
Rick Morris and Steve Feldman spoke at Marcum’s breakfast event entitled “The Knock Knock That’s No Joke!” The event focused on how to protect your hedge fund when law enforcement agents or the SEC pay you a visit.
Protecting Your Institution Post-Galleon: Current Insider Trading Issues
September 21, 2010 -- Herrick, Feinstein LLP
Our distinguished panel of experts and Herrick attorneys discussed the current challenges facing the financial industry, recent developments in the insider trading laws, and the steps attendees need to take to protect themselves and their institutions.
Protect your Firm and Stay out of the Crosshairs!
September 2, 2010 -- Compliance 11
Steve Feldman spoke at the Compliance 11 event entitled "Protect your Firm and Stay out of the Crosshairs!" He discussed the consequences of an ineffective compliance program and how a firm protects itself from violations of securities laws.