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

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. 

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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.

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Maryland’s Medical Marijuana Tenants Pose Substantial Risks for Landlords

Although medical marijuana growing, processing, possession and distribution are now legal under Maryland law, landlords need to fully understand the risks inherent in leasing to Maryland medical marijuana businesses and take steps in their leasing documents to adequately anticipate and address these risks considering federal laws regarding these transactions. 

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Baltimore Barrister Publishes "The Maryland Rules of Professional Conduct Meet Medical Marijuana"

Bar Association of Baltimore City's quarterly publication The Baltimore Barrister publishes in the May 2016 edition, "The Maryland Rules of Professional Conduct Meet Medical Marijuana," by Niles, Barton & Wilmer, LLP's Real Estate Partner Matthew L. Kimball, Esq.

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Past Articles

Regulation Best Interest: Higher Standards for Broker-Dealers, Strengthened Protections for Investor

On June 5, 2019, the U.S. Securities and Exchange Commission (“SEC”) approved a new regulation…

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When “Going Green” Isn’t Attractive – MD Court of Special Appeals Determines HOA Architectural Commi

The Maryland Court of Special Appeals provides helpful guidelines to homeowners and HOAs in addressing…

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Regulation Best Interest: Higher Standards for Broker-Dealers, Strengthened Protections for Clients

In June, the Securities and Exchange Commission (“SEC”) adopted a new regulation, Regulation…

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The Requirements and Impact of the Insurance Data Security Model Law

The National Association of Insurance Commissioners recommended that states pass the Insurance Data…

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SEC Imposes New Requirements for Brokers and Advisers in Adoption of Regulation Best Interest

On June 5, 2019, the Securities and Exchange Commission (SEC) approved the Regulation Best Interest,…

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