Steve Ganis

• Co-author, FINRA Provides Guidance on the Applicability of the Suitability Rule to Broker-Dealers Marketing Private Placements in the EB-5 Context , Corporate & Securities Alert ( 09.16.2013 )

• Co-author, New Swap Business Conduct and Record-Keeping Regulations Kick in for Municipal Bond Issuers and Borrowers , Public Finance Alert ( 04.18.2013 )

• Co-author, Two Recent SEC No Action Letters Establish Standards for Crowdsourcing Online Platforms Limited to Accredited Investors to Avoid Registration as a Broker-Dealer , Securities Alert ( 04.09.2013 )

• New FINRA Rule 5123 Regarding Private Placements of Securities Effective December 3, 2012 , Securities Alert ( 01.02.2013 )

• Co-author, Positioning Compliance Programs to Defend Against Increased Enforcement When Financial Institution Account Holders Are Implicated in Fraudulent Schemes , Financier Worldwide Magazine ( 12.01.2011 )

• Co-author, Using Finders to Assist in Financings: Understanding the Risks Associated with Unregistered Broker-Dealers , Practical Law Company ( 12.01.2011 )

• Co-author, Using Finders to Assist in Financings Can Impose Significant Risks , Insights: The Corporate & Securities Law Advisor ( 06.01.2011 )

• Co-author, Using Finders to Assist in Financings Can Impose Significant Risks , Insights: The Corporate & Securities Law Advisor ( 06.2011 )

• Co-author, Using Finders to Assist in Financings Can Impose Significant Risks on Your Company , Securities Alert ( 04.29.2011 )

• Co-author, The DOJ's FCPA Crackdown on the Pharmaceutical and Medical Devices Industry , Foreign Corrupt Practices Act (FCPA) Alert ( 09.23.2010 )

• Author, New SEC Rule Regarding Short Selling - The Alternative Uptick Rule , Securities Alert ( 03.02.2010 )

• Co-author, Supreme Court Upholds Requirement that the Government Prove Knowledge of Identity Theft , Privacy & Security Alert ( 05.13.2009 )

• Co-author, Ensuring Effective Broker-Dealer SAR Programs , The SAR Activity Review ( 05.2009 )

Speaking Engagements

• Panelist, Board Reporting: Striking the Right Balance , Boston Financial Data Services, Orlando, FL (03.17.2014)

• Speaker, How to Conduct an Effective and Properly-Scoped Investigation in Potential Sanctions and Money Laundering Violations, The International Congress on Anti-Money Laundering and Sanctions Compliance , Momentum Event Group, Washington, DC (06.21.2013)

• Panelist, Technology Driven Solutions and Problems, The Ascendant Compliance Conference , Naples, FL (04.09.2013)

• Panelist, Social Media in 2013: What We Need To Know , The New England Broker/Dealer and Investment Adviser Association, Inc., Boston, MA (12.20.2012)

• Speaker, Breakfast Conference for Investment Managers: Preparing for SEC Form PF Filing , IMP Consulting, Boston, MA (09.25.2012)

• Speaker, Suspicious Activity and Regulatory Risks for Your Institution , NEFIA-SSLEL and Fidelity Investments, Smithfield, RI (10.17.2011)

• Panelist, The 2011 Annual Review of Developments in Business and Corporate Litigation - Bret Cohen, Chair
Steve Ganis, Panelist, ABA Business Law Section Spring Meeting , ABA, Boston, MA (04.14.2011)

• Speaker, 2011 Annual Review of Developments in Business and Corporate Litigation, ABA Business Law Section Spring Meeting , American Bar Association, Boston, MA (04.14.2011)

• Co-chair, Financial Institution Litigation, ABA Business Law Section Spring Meeting , American Bar Association, Boston, MA (04.14.2011)

• Speaker, Prepaid Cards: Recent Trends and Developments, Regulatory Update, and Law Enforcement Issues , Deloitte AML Strategic Leadership Group Roundtable, New York, NY (03.16.2011)

• Panelist, AML Regulatory Changes Impacting Mutual Funds , AML Regulatory Changes Impacting Mutual Funds, Webinar (01.26.2011)

• Panelist, CDOs, Mortgage-Backed Securities and Similar Financial Instruments: Regulation, Litigation and How they Work in the Real World, CDOs, Mortgage-Backed Securities and Similar Financial Instruments: Regulation, Litigation and How t , Boston Bar Association, Boston, MA (11.10.2010)

• Speaker, The SEC's New Uptick Rule: What You Need to Know , Broker-Dealer Week, Webinar (11.03.2010)

• Speaker, New Challenges in Handling Corruption and Foreign Political Figures, Anti-Money Laundering Strategic Leadership Group Roundtable , Deloitte (10.13.2010)

• Speaker, On Wednesday, September 15, 2010 from 4:30 pm - 6:00 pm, in New York City, Steve Ganis will be leading a discussion at the NYSSCPA Anti-Money Laundering & Counter Terrorist Financing Committee Meeting. Topics to be covered include current money laundering, NYSSCPA Anti-Money Laundering & Counter Terrorist Financing Committee Meeting , New York, NY (09.15.2010)

• Faculty, OFAC Compliance for FINRA Firms , FINRA, Webinar (08.18.2010)

• Panelist, An Up-Close Look at FINRA's Guidance on Social Media: Practical Tips to Comply , IA Week and Broker-Dealer Week , Webinar (06.01.2010)

• Speaker, Anti-Money Laundering Compliance in a Global Environment , Investment Company Institute, Webinar (01.12.2010)

• Faculty, Anti-Money Laundering Compliance Boot Camp , Financial Industry Regulatory Authority (11.11.2009)

• Speaker, Incorporating Effective OFAC Compliance Strategies to Avoid Costly Fines, Anti-Money Laundering, Audit, Compliance and Fraud Forum , (10.19.2009)

• Faculty, Anti-Money Laundering Compliance Boot Camp , Financial Industry Regulatory Authority, Washington, DC (05.18.2009)

• Speaker, Mitigating Anti-Money Laundering Risks , 2009 Financial Industry Regulatory Authority Annual Conference, Boston, MA (05.07.2009)

• Panelist, Dealing with Hedge Funds, Clearing Firms and Other Intermediaries, SIFMA Anti-Money Laundering and Financial Crimes Conference , Securities Industry and Financial Markets Association, New York, NY (03.04.2009)