Shearman And Sterling

Capital Markets, Money

October 17, 2017

Richard Alsop Author Chapter on Investment Banking Compliance


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Partner Richard Alsop (New York – Capital Markets) recently co-authored a chapter titled “Investment Banking Compliance” for the PLI treatise Broker-Dealer Regulation (2nd ed.). The chapter covers issues in insider trading, managing confidential information, conflicts, compensation structures and other issues in investment banking regulation.

 Read Investment Banking Compliance Chapter”

Authors and Contributors

Richard Alsop


Capital Markets

+1 212 848 7333

+1 212 848 7333

New York