Warner Norcross launches blog focused on new developments affectinb broker-dealers, investment advisers and private funds
The attorneys and securities compliance consultants with the law firm of Warner Norcross and Judd LLP have launched a blog for broker-dealers, investment advisers and private investment funds.
The new blog, Compliance Corner, alerts clients and friends to current developments in federal, state and Financial Industry Regulation Authority, or FINRA, securities regulation, litigation and enforcement developments.
Compliance Corner also provides compliance tips, legal summaries and information about best practices.
“Compliance Corner provides important updates from the Securities and Exchange Commission, FINRA, state securities regulators and other government agencies affecting our clients, often warranting prompt action,” said Shane B. Hansen, co-chair of the practice group. “Our goal is to anticipate our clients’ compliance questions and help ease the headaches that regulatory changes can cause. Our experienced attorneys and senior securities compliance consultants provide services to a wide range of clients subject to broker-dealer, investment adviser and private fund regulations. The blog serves as an additional resource to communicate important changes.”
To read or subscribe to the blog, go to http://compliancecorner.wnj.com/.
Warner Norcross’s Broker-Dealer and Investment Adviser Practice Group is the largest in the state and among the largest in the Midwest. Warner’s securities attorneys have extensive experience representing broker-dealers, investment advisers and private investment fund advisers of all sizes through the complete spectrum of securities regulation, litigation and enforcement issues.
The group’s experience includes formations, policies and procedures, contracts, compliance testing, mock audits, employment-related issues, acquisitions, sales and wind-ups. The law firm provides legal and compliance services to clients throughout the United States.
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