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Partners Russell Sacks (New York-Financial Institutions Advisory & Financial Regulatory) and Richard Alsop (New York – Capital Markets) recently co-authored a chapter titled...
Partners Russell Sacks (New York-Financial Institutions Advisory
& Financial Regulatory) and Richard Alsop (New York –
Capital Markets) recently co-authored a chapter titled
"Investment Banking Compliance" for the PLI treatise
Broker-Dealer Regulation (2nd ed.). The chapter covers issues in
insider trading, managing confidential information, conflicts,
compensation structures and other issues in investment banking
regulation.
The content of this article is intended to provide a general
guide to the subject matter. Specialist advice should be sought
about your specific circumstances.
