Howard Fischer Interviewed by Thomson Reuters Regulatory Intelligence
April 23, 2019
Howard Fischer was recently interviewed by Julie Dimauro from Thomson Reuters Regulatory Intelligence. The discussion addressed the "Implications of the Supreme Court's Ruling in Lorenzo v. SEC." The holding in the Lorenzo case expands the scope of potential liability and poses challenges to those in the financial services under SEC Rule 10b-5; here are a few best practice pointers on how to limit client exposures.