Securities industry sees dramatic rise in legal risks


Issues include the risk of loss from failure to comply with laws, ethical standards, contractual obligations and exposure to litigation.

The dramatic increase has been attributed to the expansion of securities litigation to more third parties, including auditors, investment bankers, financial advisers and financial institutions.

"The 'lead plaintiff' provision given by the Private Securities Litigation Reform Act of 1995 (PSLRA) and the expansion of securities litigation cases to more third

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