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Capital Markets, Money

Oct 17, 2017

Russell Sacks and Richard Alsop Author Chapter on Investment Banking Compliance

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Partners Russell Sacks (New York-Financial Institutions Advisory & Financial Regulatory) and 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

Russell Sacks

Partner

Financial Institutions Advisory & Financial Regulatory

+1 212 848 7585

+1 212 848 7585

New York

Richard Alsop

Partner

Capital Markets

+1 212 848 7333

+1 212 848 7333

New York