Von Wooding, Esq.

Corporate Governance Guidelines: Best practices, compliance, board responsibilities

Insider Trading Plans: Rule 10b5-1 plans, compliance, disclosure

Algorithmic Trading: Regulations, compliance, risk controls

Financial Services Regulation: Banking, insurance, securities, compliance

Investor Relations: Communication strategies, compliance, reporting

Capital Adequacy: Regulations, compliance, risk management

Margin Trading: Regulations, compliance, risk management

Conflict Minerals: Reporting requirements, compliance, due diligence

Electronic Trading: Regulations, compliance, market infrastructure

Corporate Social Responsibility (CSR): Reporting, compliance, best practices

Commodity Futures Trading: Regulations, compliance, market practices

Securities Offerings Exemptions: Regulation S, Regulation A, Rule 144A

Self-Regulatory Organizations (SROs): FINRA, NFA, compliance

Accounting Fraud: Misrepresentation, false financial statements, compliance

Securities Act of 1933: Registration requirements, compliance, exemptions

Client Assets Protection: Custody rules, segregation of assets, compliance

Insider Dealing: Regulations, compliance, enforcement

Municipal Securities: Regulations, compliance, disclosure requirements

Fair Disclosure: Regulation FD, compliance, investor communications

Know Your Customer (KYC): Requirements, compliance, due diligence

Market Conduct: Regulations, compliance, best practices

Market Surveillance: Monitoring, compliance, enforcement

Due Diligence: Investigations, compliance, reporting

Legal Entity Identifiers (LEIs): Registration, compliance, reporting