Max Schatzow is a thought leader in the investment adviser space. He is regularly sought after to speak at industry conferences regarding legal and compliance issues impacting investment advisers and is frequently sought out for quotes in the media. Below are examples of upcoming and past speaking engagements and articles where Max participated or was quoted:
- Quoted, Andrew Welsch, SEC Dings 27 Firms for Missing Form CRS Deadlines, Barrons.com (July 2021).
- Quoted, Jeff Berman, With a Record Fine Behind It and an IPO Ahead, Will Robinhood Change Its Ways?, ThinkAdvisor (July 2021).
- Quoted, Austin R. Ramsey, Aon-Willis Merger Would Dominate Outsourced Investment Services, Bloomberg Law (June 2021).
- Quoted, Andrew Welsch, J.P. Morgan’s Legal Spat With 5 Advisors Spotlights Tricky Nature of Job Moves, Barrons, (May 2021).
- Quoted, Kate Stalter, Advisor Mergers and Acquisitions Are Rising, US News and World Report, (April 2021).
- Quoted, Samuel Steinberger, The SEC’s Ad Rule: New Strategies, New Risks, WealthManagement.com (April 2021).
- Quoted, Patrick Donachie, DOL Fiduciary Rule’s Impact Will Be Felt by Advisors, Brokers, WealthManagement.com (February 2021).
- Quoted, Samantha Russell, Five of Biggest Marketing Opportunities From the Updated SEC Ad Rule, WealthManagement.com (February 2021).
- Quoted, Jake Martin, Finra Sidelines Two Brokers who Took Client Info to New Firms, AdvisorHub (February 2021).
- Presented, New SEC Ad Rule, twenty over ten an FMG Suite Company (January 2021).
- Quoted, Jake Martin, FINRA Scrutinizes Brokers Who Took PPP Loans for Potential Violations, AdvisorHub (February 2021).
- Presented, What RIAS Need to Know About the New Marketing Rules, Snappy Kraken (January 2021).
- Quoted, Jeff Berman, How Advisors Can Use Client Testimonials Under New SEC Rule, ThinkAdvisor (January 2021).
- Quoted, Kate Stalter, New SEC Rules Allow Financial Advisor Testimonials, US News and World Report (January 2021).
- Quoted, Melanie Waddell, Advisor Advertising Rules Enter 21st Century, ThinkAdvisor (January 2021).
- Quoted, Mark Schoeff Jr., Finra examines reps taking PPP loans for potential violations, InvestmentNews (January 2021).
- Quoted, Ryan W. Neal, FINRA scrutinizes firms that accepted PPP loans for possible rule violations, Financial Planning (January 2021).
- Quoted, Mrinalini Krishna, Rollover Disclosures Under New DOL Rule Could Expose Advisors to Litigation, Financial Advisor IQ (December 2020).
- Quoted, Jake Martin, What the SEC’s revised marketing rules mean for RIAs, CitywireRIA (December 2020)
- Quoted, Ryan W. Neal, Robinhood accused of violating Massachusetts fiduciary rule, Financial Planning (December 2020).
- Quoted, Patrick Donachie, Can NASAA’s CE Rule Get Widespread Buy-in From the States?, WealthManagement.com (December 2020).
- Quoted, Ben Edwards, A 10b-5 Plan in Action, Business Law Prof Blog (November 2020).
- Quoted, Patrick Donachie, SEC Risk Alert Warns Multi-Branch Firms On Compliance Concerns, WealthManagement.com (November 2020).
- Quoted, Michael Thrasher, Advisors Can Flaunt Their Rankings and Awards. But It’s Not a Free for All, RIAIntel (October 2020).
- Quoted, Patrick Donachie, SEC Proposes ‘Finders’ Exemption for Unregistered Brokers in Private Markets, WealthManagement.com (October 2020).
- Quoted, Patrick Donachie, What’s Causing Disciplinary Disclosure Failures on Form CRS?, WealthManagement.com (September 2020).
- Quoted, Patrick Donachie, Supreme Court Rules SEC Disgorgement Can Stay (With Caveats), WealthManagement.com (June 2020).
- Quoted, Patrick Donachie, Two States Push Rules Requiring Form CRS From State-Registered Advisors, WealthManagement.com (June 2020).
- Quoted, Ian Wenik, To disclose or not to disclose? After deciding to take a forgivable PPP loan, advisors have another big decision to make, Citywire (June 2020).
- Quoted, This is simple and straightforward, unless you are committed to misunderstanding it, The Reformed Broker (June 2020).
- Author, Don’t criticize RIAs who take PPP loan, Citywire (May 2020).
- Quoted, Jake Martin, A first look at Form CRS submissions, Citywire (May 2020).
- Quoted, Michael Thrasher, Why Lead Generator SmartAsset Just Became an RIA, RIAIntel (May 2020).
- Quoted, Bob Veres, Code of Uncertainty, inside information, (April 2020).
- Quoted, Advisors Need a Continuity Plan More Than Ever: Echelon, ThinkAdvisor (April 2020).
- Quoted, SEC looking for ‘good faith’ efforts in Reg BI, Form CRS exams, Citywire (April 2020).
- Quoted, Cybersecurity Attacks Could Derail At-Home Advisors, Experts Warn, ADVISORHUB (April 2020).
- Presented, Continuity Planning Solutions for Wealth Managers, Echelon Partners Webinar (April 2020).
- Quoted, Advisers should think twice about taking the SEC up on its ADV filing extension, InvestmentNews (March 2020).
- Quoted, Avoiding Compliance Pitfalls During the Coronavirus Pandemic, WealthManagement.com (March 2020).
- Quoted, Jake Martin, FINRA postpones in-person arbitration and mediation, Citywire (March 2020).
- Quoted, Robinhood Says ‘Thundering Herd’ Caused Outage, Remedies Still Being Considered, Yahoo Finance, https://finance.yahoo.com/news/robinhood-says-thundering-herd-caused-154104680.html (March 2020).
- Acknowledged, Nicole Boyson: How to Spot Financial Advisor Conflicts of Interest, Podcast, Morningstar https://www.morningstar.com/podcasts/the-long-view/45 (March 2020).
- Quoted, Smart Steps Advisors Need to Take to Steer Clear of Legal Trouble, Morey Stettner, Investor’s Business Daily (March 2020)
- Quoted, Associations and Firms Protest Deduction Limitation in Trump Tax Cut, ACA Insight (January 6, 2020).
- Quoted, Move Over Viagra Ads, Here Come the Financial Advisers, Jason Zweig, Wall Street Journal (November 2019).
- Presenter, Understanding and Leveraging the Proposed New Advertising Rules, Webinar (November 2019).
- Quoted, For Some RIAs, $0 Trades May Bring More Pain Than Gain, WealthManagement.com (November 7, 2019).
- Author, Tips for Financial Professionals, US1 (October 2019).
- Author, As Brokerages Race to Cut Commissions, RIAs Should Check Their Fees, ThinkAdvisor (October 2019).
- Author, California Assembly Bill 5 and the (Non-)Impact on the Financial Services Industry, The National Law Review (September 2019).
- Presenter, The New Standard of Conduct for Investment Advisers and Broker-Dealers. Webinar. (June 2019).
- Quoted, Breaching Charge: Cybercrime Insurance Is Rapidly Becoming Must-Have Asset for Companies — of Any Size. ROI-NJ.com. (June 2019).
- Author, Massachusetts Securities Division Changes the Law Applicable to Investment Advisers Overnight, The National Law Review (March 2019).
- Author, Do Not Trust Your Compliance Consultant’s Legal Advice, ThinkAdvisor (March 2019).
- Quoted, Determine Auditor’s Custody Rule Savvy before Engagement, ACA Insight (February 4, 2019).
- Presenter, Form ADV Annual Amendment Updates: Best Practices and Recent Trends in Completing Form ADV Webinar (January 2019).
- Author, California to Conduct Written Electronic Examination of State-Registered Investment Advisers, The National Law Review (October 2018).
- Quoted, Watchdog Wants SEC to Improve Management of Information and Data Sources. ACA Insight (October 29, 2018).
- Comment Letter, Proposed IA Model Rule for Information Security and Privacy Under the Uniform Securities Acts of 1956 and 2002, NASAA, available here.
- Author, Lessons From SEC’s Action on Leveraged ETPs, Cadaret Grant, Think Advisor (September 2018).
- Author, SEC’s Office of Compliance Inspections and Examinations Begins Conducting Targeted Reviews Related to Crypto-Assets (August 2018).
- Presenter, The Proposed SEC Interpretation on the Standard of Conduct for Investment Advisers and Regulation Best Interest, Webinar (July 19, 2018).
- Featured, Trade Pre-Clearance and Blackout Periods: Use Them Wisely. ACA Insight (April 16, 2018).
- Cited, Commission Interpretation Regarding Standard of Conduct for Investment Advisers, Investment Advisers Act Release No. 5248 at n. 20 (June 5, 2019) .
- Presenter, ADV Part 1 Updates – Resolving Frequently Asked Questions. Stark & stark Webinar (March 2, 2018).
- Featured, DOL Wins First Fiduciary Rule Challenge, But Trump Waits in the Wings. ACA Insight (November 14, 2016).
- Speaker, Success in the Wake of the DOL Fiduciary Rule. FolioDynamix Webinar (April 26, 2016).
- Quoted, SEC Comes Down on RIA over Back-Tested Results. Financial Advisor IQ (December 4, 2015).
- Quoted, Some OCIE examiners declare advisers have custody via Fidelity Contract. Regulatory Compliance Watch (November 25, 2015).
- Speaker, What Constitutes Custody? Custody Situations Explored. Fidelity Institutional Wealth Services (January 27, 2015).
- Speaker, A Compliance Update and Day on the Greens. Schwab Advisor Services (July 22, 2014).
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