Recently by Ernest E. Badway
Corporate Counsel's Role In Detecting Internal Company Fraud
Editor: Please give an overview of your expertise in advising broker-dealers, brokers, hedge funds and investment advisors on matters related to securities defense and white collar defense. Badway: I was an attorney with the SEC's Division of Enforcement. Since joining SSS&G, I have been...
Read MoreHedge Funds Under Fire: Is There Body Armor Out There?
In the last 18 months, the hedge fund industry with more than 8,000 hedge funds and nearly $1 trillion in assets has experienced unparalleled civil and criminal investigative scrutiny. No longer do we argue over the proprietary of hedge fund regulation. Instead, after late trading and market timing...
Read MoreBanks And Broker-Dealers Combining? A Brave New World - Part II
Part I of this article appears in the September 2004 issue of The Metropolitan Corporate Counsel. In Part I of this article, we discussed approaches banks and broker-dealers may consider for combining their activities. In Part II, we discuss less intrusive approaches to bank and broker-dealer...
Read MoreBanks And Broker-Dealers Combining? A Brave New World - Part I
Part II of this article appears in the October 2004 issue of The Metropolitan Corporate Counsel.In these uncertain times, many broker-dealers are looking for creative business combinations and relationships to create new revenue streams. The Gramm-Leach-Bliley Financial Services Modernization Act...
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