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November 04, 2014

Evans and Alsop Author Chapter on Investment Banking Compliance


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Partners Rob Evans (New York-Capital Markets) and counsel 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.

The new second edition of Broker-Dealer Regulation provides a practical understanding of the many requirements of this highly regulated area, including coverage of the significant FINRA and SEC responses to the economic downturn. Also included are useful suggestions on complying with requirements in areas such as electronic trading, safeguarding customer information, trading desk activities and business continuity planning.

Authors and Contributors

Richard Alsop


Capital Markets

+1 212 848 7333

+1 212 848 7333

New York