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Press Releases from Smith & Bernards Associates (7 total)

Smith & Bernards Associates on how the pandemic is spurring new financial regula …

The COVID-19 pandemic pushed banks and credit unions to fast-track digital transformation plans as consumers nationwide stopped visiting branches and ATMs, and suddenly shifted to digital and mobile banking options. Many banks have navigated this transition successfully. The pandemic has exposed shortcomings in both security and technical infrastructure across the financial sector. Cybersecurity threats and fraud have surged during the pandemic. Organized crime rings and fraudsters around the world saw the

New State Requirements for Certain Investment Advisers and Solicitors at Smith & …

New and amended rules will go into effect in New York that require certain individuals associated with investment advisers to register with the state and to meet examination requirements. With respect to investment advisers registered with the Securities and Exchange Commission (SEC), these new registration and examination requirements will only apply to individuals who meet the federal definition of an "investment adviser representative". In addition, New York will now impose registration and

Smith & Bernards Associates adds leading finance lawyer to New York office

Financial law firm Smith & Bernards Associates is pleased to announce that Christian Millard has joined the firm’s Finance practice as a partner in New York. Millard joins the firm from a well known NY Firm, where he was special counsel. He advises leading financial institutions, investment banks, private equity sponsors and corporate issuers in domestic and cross-border offerings of debt and equity securities. As part of his practice, he advises

Smith Bernards & Associates Talk About Mitigating Fraud For Businesses Internall …

Michael Davis Head of Business Law at Smith & Bernards Associates Law Firm Talks at local seminar about mitigating risk of fraud in the workplace Periodically, the latest major fraud hits the headlines as other organisations sit back and watch, telling themselves that ‘it couldn’t happen here.’ But the reality is that fraud can happen anywhere. While only relatively few major frauds are picked up by the media, huge sums are

Smith & Bernards Associates Charge Financial Advisory Firm with Fraud for Steali …

Smith & Bernards Associates today charged former registered representative and investment adviser Shaun Davidson with fraud for stealing from brokerage customers and an elderly advisory client. The Smith & Bernards Associates complaint alleges that Davidson, a financial advisor of a large financial institution, falsified internal documents in order to effect dozens of unauthorized wire transfers, totaling millions of dollars, from the accounts of brokerage customers to his personal bank account.  According

Smith & Bernards Associates Help Reduce Scams During Covid-19

Criminals were quick to capitalise on Covid-19. 3% of global spam is estimated to be Covid-19 related, 36% of people in the UK have been contacted by scammers since the start of the pandemic, according to Citizens Advice. Below are some types of fraud to look out for; Push payment fraud Push payment fraud is known by a variety of names, including CEO fraud, bogus boss fraud or business e-mail compromise. It’s

Smith & Bernards Associates Appoint New Head of Corporate Law Division

Smith & Bernards Chief Executive Of Law Timothy Wendle today appointed Linda S. Harvey as the law firm’s new Head of Corporate Law. With this appointment, Harvey will now share leadership duties of the Corporate Law Group, which consists of approximately 15 lawyers. Smith & Bernards Associates advises many large corporations and financial institutions on complex, high-value and sensitive multi jurisdictional disputes. So Linda will have to hit the ground running

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