Alexander Martin Madrid

McGuireWoods LLP

Articles

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New Year, Old Problem: Broker-Dealers Should Evaluate Their Supervision of Personal Device Use

USA - February 9 2021 Many companies that transitioned to a work-from-home environment in early 2020 may have reasonably anticipated a return to the normalcy of in-office…

Chelsey A. Dawson, Cheryl L. Haas, Emily P. Gordy.

Another Cop on the Beat? CFP Board Signals Increased Enforcement Focus

USA - November 30 2020 Financial advisors have long used the Certified Financial Planner designation as an indicator to potential clients that they meet high standards of…

Chelsey A. Dawson, Cheryl L. Haas, Emily P. Gordy.

OCIE Finds Supervision Failures at Multiple-Branch Office Investment Advisers

USA - November 18 2020 On November 9, 2020, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) announced the results of its examination of nearly 40…

Elizabeth J. Hogan, Lindsay Brandt Jakubowitz.

11th Circuit Curtails Receivers’ Ability to Bring Ponzi Scheme-Related Claims Against Banks

USA - June 29 2020 On June 1, 2020, the U.S. Court of Appeals for the 11th Circuit issued Isaiah v. JPMorgan Chase Bank, N.A., a precedential opinion that draws sharp…

Nellie E. Hestin.

Ready or Not, Prepare to Start Answering Questions About Reg BI Compliance

USA - October 21 2019 On June 5, 2019, the SEC adopted Regulation Best Interest (“Reg BI”), which requires broker-dealers and associated persons to make recommendations…

Aline McCullough, Cheryl L. Haas, Emily P. Gordy.