Under Proposed Exemptive Order, Finders Need Not Register with a Broker-Dealer to Receive Transaction-Based Compensation

Please see the recent legal alert written by our Investment Management & Broker-Dealer Team.

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Knowledge assets are defined in the study as confidential information critical to the development, performance and marketing of a company’s core business, other than personal information that would trigger notice requirements under law. For example,
The new study shows dramatic increases in threats and awareness of threats to these “crown jewels,” as well as dramatic improvements in addressing those threats by the highest performing organizations. Awareness of the risk to knowledge assets increased as more respondents acknowledged that their