Ivan P. Harris
Email: iharris@morganlewis.com
- Miami
-
200 S. Biscayne Blvd., Suite 5300
Miami, FL 33131-2339
Phone: 305.415.3398
Fax: 305.415.3001
- New York
-
101 Park Avenue
New York, NY 10178-0060
Phone: 212.309.6390
Fax: 212.309.6001
Publications
| Date | Type | Title |
| 03/05/2012 | Outside Publication | Consumer Financial Protection Bureau: What It Is, What to Expect, BNA's Daily Report for Executives |
| 02/01/2012 | LawFlash/Client Alert | Select SEC and FINRA Broker-Dealer Cases and Developments: 2011 Year in Review |
| January 2012 | Morgan Lewis Title | 2011 Year in Review: SEC and FINRA Selected Enforcement Cases and Developments Regarding Broker-Dealers |
| January 2012 | Morgan Lewis Title | The Consumer Financial Protection Bureau (CFPB): What It Is and What to Expect |
| 10/19/2011 | Presentation | Anti-Money Laundering Workshop, presented at NSCP’s 2011 National Membership Meeting, Baltimore, Maryland |
| March 2011 | Morgan Lewis Title | Morgan Lewis 2010 Hedge Fund Enforcement Year in Review |
| 12/22/2010 | LawFlash/Client Alert | SEC Enters Into First Nonprosecution Agreement as Part of Its New Cooperation Initiative |
| 01/26/2010 | Outside Publication | Feds Must Learn Difference Between
Poor Decisions and Fraud, Daily Business Review |
| 10/06/2009 | Presentation | Conflicts of Interest [Large Firms], presented at the NSCP National Membership Meeting, Philadelphia |
| January/February 2009 | Outside Publication | FINRA Steps Up AML Enforcement Efforts to Target Suspicious Activity Monitoring, NSCP Currents |
| 02/24/2009 | Outside Publication | International Business: Corruption Laws Reach Further Than Many Companies Believe, Daily Business Review |
| 10/20/2008 | Presentation | Conflicts of Interest, presented at the NSCP National Membership Meeting 2008, Philadelphia |
| 10/15/2008 | LawFlash/Client Alert | SEC Lifts the Veil on Its Enforcement Process by Publishing Enforcement Manual |
| 12/06/2007 | Presentation | Compliance Officers and Compliance Programs, presented at the West Legalworks Investment Adviser Regulation: An A to Z Workshop, Miami |
| 11/14/2007 | Presentation | The Impact of Hedge Funds on the Global Capital Markets, presented at Terrapinn's Hedge Funds World Bahamas 2007, Atlantis, Bahamas |
| 10/30/2007 | Presentation | Governance, Risk and Compliance Track: SEC Enforcement Actions, presented at the 14th Annual Institutional Investor/MARHedge Global Hedge Fund Summit, Bermuda |
| October 2007 | Outside Publication | The D.C. Circuit’s Remand of the SEC’s Order Sustaining an NASD Disciplinary Proceeding Puts Focus on the Standard for SEC Review of Sanctions Imposed by SROs, Banking & Financial Services Policy Report |