The Role of General Corporate Counsel in your Corporate Governance
This month’s Risk Management Tip will further explore the new requirements for promoters who solicit on behalf of investment advisory firms.… Read More
SEC Charges San Antonio CEO with Defrauding Investors Including First-Responders
On July 30, 2020, the Securities and Exchange Commission (“SEC”) announced it was bringing charges against San Antonio-based CEO, Victor Lee Farias, and his firm, Integrity Aviation & Leasing (“IAL”), for defrauding investors, including police officers and other first-responders, out of approximately $14 million.
Understanding Who Speaks for Your Company
It’s a phrase often heard in business, “know who speaks for your company.” On its face, it sounds like a simple question, whose answer is easily ascertained. However, all too often, a business finds itself committed to an unwanted agreement;…
Lori Richards Keynote Address – What To Do As Compliance Professionals
Michelle L. Jacko wrote a Legal Risk Management Tip titled Lori Richards Keynote Address – What To Do As Compliance Professionals in October, 2008.… Read More