Concerned about weak risk management practices at broker-dealers, three securities regulators plan to step up scrutiny of these procedures during regulatory examinations. The infancy toll for New York State's statutes of limitations is meant to protect children who are, by law, unable to pursue legal claims. Securities attorneys say it is a particularly good idea for securities regulators to remind broker-dealers of the importance of strong internal audit functions when the market is volatile.
August 05, 1999 at 12:00 AM
1 minute read
The original version of this story was published on Law.Com
Concerned about weak riskmanagement practices at broker-dealers, three securities regulators planto step up scrutiny of these procedures during regulatory examinations.
The infancy toll for NewYork State’s statutes of limitations is meant to protect children who are,by law, unable to pursue legal claims. Generally, statutes of limitationsare tolled until the child/ claimannaging risk and evaluating credit exposure.
Presented by BigVoodoo
Law firms & in-house legal departments with a presence in the middle east celebrate outstanding achievement within the profession.
The premier educational and networking event for employee benefits brokers and agents.
The Legal Intelligencer honors lawyers leaving a mark on the legal community in Pennsylvania and Delaware.
Atlanta s John Marshall Law School is seeking to hire one or more full-time, visiting Legal WritingInstructors to teach Legal Research, Anal...
Lower Manhattan firm seeks a premises liability litigator (i.e., depositions, SJ motions, and/or trials) with at least 3-6 years of experien...
U.S. District Court for the Northern District of CaliforniaThe current term of office for United States Magistrate Judge Susan van Keulen in...
MELICK & PORTER, LLP PROMOTES CONNECTICUT PARTNERS HOLLY ROGERS, STEVEN BANKS, and ALEXANDER AHRENS
