PHILADELPHIA – Stradley Ronon is pleased to announce that the firm recently hosted a financial services regulatory workshop at the Penn Club of New York. The event was presented by Counsel John M. Baker, Derivatives and Commodities Co-Chair Peter M. Hong, Managing Counsel Samantha Kats, Senior Counsel Frederic M. Krieger and Fiduciary Governance Co-Chair Lawrence P. Stadulis.
Attendees joined a lively discussion on a variety of hot topics in the financial services industry, including:
- FINRA Continuing Commissions Policy.
- Self-Reporting Under FINRA Rule 4530.
- SEC Proposal on Conflicts of Interest Associated with Predictive Analytics.
- New FINRA Rules on Expungement of Customer Complaints from CRD.
- Draconian Consequences for Not Making Prompt Payments of Arbitration Fees in California.
Baker advises clients on complex securities law and banking issues for mutual funds and their boards/trustees, investment advisers, broker-dealers, banks, hedge funds and others in the financial markets.
Hong is co-chair of the firm’s derivatives and commodities practice group and uses his many years of service at the SEC and the Commodity Futures Trading Commission to guide clients through the various regulatory requirements involved in the offer of financial services and products.
Kats focuses her practice on complex civil litigation, representing corporate, nonprofit, financial services industry and institutional clients in a wide variety of matters, including commercial contract disputes, insurance coverage, general liability defense and securities litigation and regulatory enforcement in federal and state courts, as well as private and FINRA arbitration.
Krieger has extensive knowledge of securities market regulation, both internationally and domestically, including product, bank, broker-dealer and investment management regulation, corporate governance, SEC and FINRA examinations, investigations and inquiries, internal investigations and compliance advice and training.
Stadulis is a frequent lecturer and author on legal matters pertaining to the investment management industry. He advises clients on issues pertaining to the registration and regulation of investment advisers and investment companies under federal and state securities laws.
About Stradley Ronon
>Counseling clients since 1926, Stradley Ronon has helped private and public companies – from small businesses to Fortune 500 corporations – achieve their goals by providing pragmatic, value-driven legal counsel. With offices in eight strategic locations, our responsive team of more than 200 attorneys seamlessly addresses the full spectrum of our clients’ needs, ranging from sophisticated corporate transactions to complex commercial litigation.