by Oscar Jofre | Sep 11, 2024 | Broker-dealers, Investors, Legal
This blog post from the Laura Anthony from Securities Law Blog, examines the SEC’s Spring 2024 regulatory agenda. The agenda, although subject to change, gives crucial insight into future financial regulations. Key areas highlighted in this edition include...
by Oscar Jofre | Jun 23, 2021 | BoardRoom, Capital Markets, Capital Raising, Compliance
When thinking about corporate governance, the first roles that often come to mind are the executive officers like the CEO or CCO. These roles are often responsible for the day-to-day operations of the company, keeping things running smoothly, with other roles...
