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Thursday, March 30, 2017
Tina Hill and Brian Walsh author NSCP Currents article advising commodity professionals to address information systems security now
If you are a Commodity Pool Operator (“CPO”) or Commodity Trading Advisor (“CTA”) and you have not made strides to put an effective Information Systems Security Program (“ISSP”) in place, doing so should be blinking red on your dashboard.

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Monday, March 27, 2017
Kate McGrail speaks to InvestmentNews regarding regulatory overlap and duplication
Enforcement panels at regulatory conferences can sometimes be dull. But complaints about multiple regulatory penalties for the same violation brought the crowd to life last week in San Diego.

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Monday, March 27, 2017
Brian Walsh comments on Market Intel and its role at CFTC Reorganization
Acting CFTC Chairman J. Christopher Giancarlo is signaling his intention to increase the agency's market intelligence capabilities by moving certain surveillance functions to the Division of Enforcement, derivatives lawyers told Bloomberg BNA.

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Friday, March 24, 2017
E-Discovery Innovator Patricia Wallace Joins Murphy & McGonigle
Murphy & McGonigle, P.C. announced today that Patricia Wallace has joined the firm as a partner in its Richmond, VA office. Ms. Wallace’s arrival continues the strong trend of talent joining the financial services law firm that was founded in 2010.

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Thursday, March 9, 2017
Murphy & McGonigle earns award in National Association of Women Lawyers Inaugural YouTube Video Contest. Click here for video.
Murphy & McGonigle earns award in National Association of Women Lawyers Inaugural YouTube Video Contest.

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Thursday, February 2, 2017
Kate McGrail comments on data analytics in InvestmentNews article “Regulators use big data to turn up enforcement heat”
Securities regulators are turning to big data to increase their enforcement firepower, a move that could eventually help them more easily uncover breaches of suitability in investment product sales.

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Wednesday, January 18, 2017
Len Amoruso to host SEC’s Michael Osnato in fireside chat at SIFMA’s Leaders and Experts Forum 2017
This half-day CLE discussion forum will feature two panels of leading in-house and outside counsel, SEC and FINRA, and SIFMA leaders and experts who will discuss regulatory priorities, ways to successfully manage regulatory investigations and enforcement matters, valuable insights into current FinTech/RegTech developments actively used by regulators and the industry, and ways that financial services firms can use data and regulatory analytics to derive and support solutions.

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Monday, January 9, 2017
Murphy & McGonigle’s Diversity & Inclusion submits video for NAWL YouTube video contest.
Murphy & McGonigle’s Diversity & Inclusion submits video for NAWL YouTube video contest

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Thursday, December 22, 2016
Kate McGrail to serve on SIFMA Conference Panel “Responding to Regulatory Inquiries in the Big Data Age: Is Your Firm Ready?”
SIFMA and Bates Group will co-host the 2017 Leaders & Experts Forum: Successfully Managing Regulatory Investigations and Enforcement Matters in the New Regulatory Landscape and Big Data-Driven Age on Thursday, January 26th, 2017, at the SIFMA Conference Center in New York City.

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Wednesday, December 21, 2016
Larry Bergmann Addresses Regulation SHO and Bona-Fide Market Making
The SEC has instituted administrative proceedings against Wilson-Davis & Company (WDCO), a Utah broker-dealer, and certain associated persons for, among other things, improperly claiming the “bona- fide market making” exception to the requirement in Rule 203 of Regulation SHO to obtain a “locate” of stock before effecting short sales.

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