FinTech Law Firm’s Post

📊 Ensuring Fair Valuations for Level 3 Assets 📊 Valuing Level 3 assets, like illiquid securities and private investments, demands precision and transparency. In our latest post, we explore essential practices for investment advisers to: 🔹 Enhance valuation analysis 🔹 Strengthen compliance with SEC regulations 🔹 Build investor trust through transparent reporting Don’t let valuation errors impact your firm’s reputation. Read more for insights on safeguarding your valuation processes and staying compliant. 📈🔍 👉https://zurl.co/lj1M #FairValuations #Level3Assets #FinancialCompliance #AssetManagement #InvestmentAdvisers #SECCompliance #Transparency #InvestorTrust

The latest edition of The Securities Litigation & Regulatory Report - December 1, 2024, includes recent developments regarding securities litigation and regulatory activity. #securitieslitigation #securitiesregulation #FINRA #SEC https://lnkd.in/eg8hn8dZ

Lessons from SEC Enforcement Actions Against Merrill Lynch and Harvest Volatility The SEC’s recent enforcement actions highlight the critical importance of aligning business practices with fiduciary obligations and disclosures. In our latest post, we cover: 🔹 Key takeaways from these cases 🔹 Common pitfalls for investment advisers and DeFi projects 🔹 Practical steps to ensure compliance and protect client trust Don’t let misaligned practices lead to costly consequences. Stay ahead with these vital compliance insights. 🔍📈 👉 https://zurl.co/zXdG #SECEnforcement #ComplianceMatters #FiduciaryDuty #InvestmentAdvisers #Transparency #FinancialRegulation #FinTechLaw

Lessons from SEC Enforcement Actions Against Merrill Lynch and Harvest Volatility The SEC’s recent enforcement actions highlight the critical importance of aligning business practices with fiduciary obligations and disclosures. In our latest post, we cover: 🔹 Key takeaways from these cases 🔹 Common pitfalls for investment advisers and DeFi projects 🔹 Practical steps to ensure compliance and protect client trust Don’t let misaligned practices lead to costly consequences. Stay ahead with these vital compliance insights. 🔍📈 👉 https://zurl.co/HTH4 #SECEnforcement #ComplianceMatters #FiduciaryDuty #InvestmentAdvisers #Transparency #FinancialRegulation #FinTechLaw

Will you be attending Practising Law Institute (PLI)’s Understanding Financial Products program next week? Don't miss Linklaters Capital Markets Partner Jeffrey Cohen on the Securities Products Fundamentals panel exploring structuring techniques and transaction features, SEC jurisdiction and exemptions, the structured finance market, and regulatory developments impacting securitized products. Learn more and register: https://lnkd.in/gjkXKnZR. #Capitalmarkets #securities #structuredfinance

If you’re in need of licensing, regulatory compliance services or legal opinions for financial services, get in touch and let’s connect at Finance Magnates London Summit 🤝 #FAIComply #TheLegalOpinions #FinanceMagnates #FMLS24 #LegalOpinions #RegulatoryCompliance 

If you’re in need of licensing, regulatory compliance services or legal opinions for financial services, get in touch and let’s connect at Finance Magnates London Summit 🤝 #FAIComply #TheLegalOpinions #FinanceMagnates #FMLS24 #LegalOpinions #RegulatoryCompliance 

Practising Law Institute (PLI) is pleased to announce the 56th Annual Institute on Securities Regulation. The Institute on Securities Regulation brings together the nation’s leading securities and corporate legal experts to deliver practical information, insights and real-world strategies and solutions to the challenges facing you and your clients today. Find out more here: https://lnkd.in/eXpaX_Zn #securitieslitigation #mergerandacquisitions #SEC #ESGclimate

Navigating securities law? Stagg Wabnik Law Group offers expert representation for national financial services firms, banks, broker-dealers, and hedge funds. Our team is skilled in addressing FINRA enforcement inquiries and employment disputes within the securities industry. 📈💼 Learn more at https://lnkd.in/eBfq5mrx #SecuritiesLaw #FINRA #LegalServices #BrokerDealer #InvestmentLaw

If you missed our Mid-Year Shareholder Litigation Outlook webinar, watch it now via the link. Financial Recovery Technologies' in-house legal team hosted a practical, data-driven discussion of our biggest takeaways from recent conversations with clients, shareholders, organisers, and partners.  Key session highlights included: 1. Why SEC Fair Funds and Delaware Chancery suits are making waves in the U.S. 2. Which global jurisdictions and opportunities have the best risk/reward profiles 3. Insights into the $580M stock lending litigation and other settled antitrust cases 4. The largest class action settlements and payouts of 2024 so far #classactions #securitieslitigation #antitrust