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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 MoreInternet And Email Use In The Workplace: Keeping Tabs On Employee Use Of This Technology
The use of electronic mail ("email") and the Internet by employees has skyrocketed in the past few years. It now has reached the point that these tools of technology are required items for a modern and successful workplace. For example, most federal courts now require lawyers to file pleadings...
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 MoreCurrent Issues In New Jersey Employment Law
Discrimination Claims MustBe Supported By Facts RatherThan Mere "Feelings" A New Jersey state appellate court has affirmed a trial court's dismissal of claims by two employees against their former employer, alleging religious discrimination. The two plaintiffs worked as brokers in the Morristown...
Read MoreImpact Of Evolving Commercial Law On Standard Contract Provisions
Editor: Article 1 of the UCC provides general rules of construction for the code's interpretation and application, and defines various terms used throughout the UCC, including good faith. How have the drafters changed the definition of good faith? Forte: Section 1-201(19) currently defines good...
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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