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Due Diligence › Elder Issues

Harris Beach Murtha PLLC

A Balanced Approach: 10 Key Strategies to Minimize Bad Debt and Avoid Involuntary Terminations in Senior Living Communities

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Senior living communities operate in a highly regulated and financially demanding environment, requiring operators to maintain fiscal stability while delivering exceptional care. As the senior population grows, providers face...more

Burr & Forman

OCIE Warns on Suitability in Retail Sales of Structured Products

Burr & Forman on

The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a recent “Risk Alert” noting observed deficiencies in broker-dealer supervision and compliance controls over retail sales of structured products –...more

Morrison & Foerster LLP - Structured Products

Structured Thoughts -- Volume 4, Issue 8 -- May 15, 2013

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In This Issue: Due Diligence Procedures for Structured Note Distributors; Key Issues for Yankee CDs; The SEC and FINRA: Protect Your Elders; The FSOC’s 2013 Annual Report: Increasing Exchange-Traded Product Activity;...more

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