Close

Articles

Our lawyers are thinkers as well as doers—and have published numerous informative and insightful articles on topics related to their respective practices and our clients’ industries. Read what our people have to say about what’s important to you.

Articles

Recent Articles

Maryland Takes on the SEC in Debate Over Fiduciary Standard of Care

The Maryland legislature may soon be considering legislation that would require Maryland-licensed broker-dealers to abide by a fiduciary standard of care when recommending stocks, bonds and mutual funds to Maryland consumers. The same law would require Maryland-licensed insurance agents to abide by a fiduciary standard of care when recommending insurance products to Maryland consumers.  

read more »

Preparing, Adapting and Responding to Cyber Incidents: Marriott International Case Study

Cybersecurity is an issue that every company, of every size, must address as part of standard risk identification. The Marriott International data breach case study provides lessons learned in preparing for a proactive data security strategy, adapting to cyber threats, and responding to vulnerabilities for a company of any size operating anywhere in the world. 

read more »

Who is a Fiduciary? Why it Matters and Tips for Financial Services Compliance and Risk Management

Over the last few years, the Securities and Exchange Commission (SEC), Department of Labor (DOL), and Financial Industry Regulatory Authority (FINRA) have focused on sweeping changes to the duties owed to clients, fee structures, potential conflicts of interest, and protecting senior investors as part of a series of new rules and regulations affecting the financial services business model and related investigation and enforcement actions. 

read more »

How Financial Advisors Can Avoid Compliance Failures: A Review of SEC 2018 Examination Priorities

Financial advisors can get clues about regulators’ top concerns by looking at the SEC’s examination priorities for the coming year, which are published in January of each year by the SEC’s Office of Compliance Inspections and Examination (OCIE). The 2018 examination priorities identified areas where there is increased risk of potential harm to investors and the OCIE has been targeting these risk areas during its examinations of SEC-registered investment advisors.

read more »

Past Articles

Maryland Takes on the SEC in Debate Over Fiduciary Standard of Care

The Maryland legislature may soon be considering legislation that would require Maryland-licensed…

read more »
Baltimore City Increases Recordation & Transfer Taxes for Some Real Estate Transactions

In a bid to provide a reliable source of funding for an affordable housing trust, Baltimore City Council…

read more »
Preparing, Adapting and Responding to Cyber Incidents: Marriott International Case Study

Cybersecurity is an issue that every company, of every size, must address as part of standard risk…

read more »
Changes in 2018 Maryland Condominium and HOA Laws

Several changes in Maryland condominium and HOA laws will affect the operation of condo and homeowners…

read more »
New Standards Under Maryland’s Public Adjuster Act

Maryland has implemented new standards for public adjusters that will be applied and enforced by…

read more »