Tim Foley

Counsel

Tim Foley is counsel at Alston & Bird LLP in Washington, D.C., in the firm’s Financial Services & Products Group. He advises broker-dealers and other financial institutions in regulatory compliance and enforcement matters involving the SEC, FINRA, self-regulatory (SRO) agencies and state and foreign regulatory agencies.

Compliance

As pandemic triggers continuity plans, what RIAs and BDs should ask themselves

Compliance attorneys for large wealth managers outline which questions are critical in light of the substantial regulatory requirements.

By Kate Hanniford

April 13

TRENDING

Industry News

Goldman Sachs, Morgan Stanley, Citigroup: How they're deploying tech and what it costs

During first-quarter earnings calls, top executives of mega firms like Goldman Sachs, Morgan Stanley and Citigroup talked about how they're testing AI and high-tech tools.

By Rachel Witkowski

April 18
Tax

Fighting stubborn racial disparities in homeowner tax subsidies

Experts from the Fed, Intuit and the Urban-Brookings Tax Policy Center explored ideas for more effective ways to advance the goals of the mortgage interest deduction.

By Tobias Salinger

April 18
Retirement

1 in 4 couples disagree over retirement spending priorities

Romantic partners usually agree on their broad retirement goals, a new Ameriprise study shows. But the consensus breaks down over smaller questions.

By Nathan Place

April 18