Kimberly Klayman

Kimberly Klayman

Ballard Spahr LLP

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Investment Management Update

SEC Enforcement Action against Private Equity Fund Adviser - On June 1, 2016, the SEC announced that a private equity fund adviser and its principal owner agreed to pay more than $3.1 million to settle SEC charges that,...more

7/11/2016 - Business Continuity Plans Enforcement Actions Financial Sector FINRA Investment Adviser MSRB Municipal Securities Market Pay-To-Play Political Contributions Private Equity Funds Registered Investment Advisors Registered Investment Companies (RICs) Rule G-37 Rule G-8 Rule G-9 SEC Securities Fraud

FTC Releases "Cheat Sheet" for Developing a Secure Mobile Health Application

The Federal Trade Commission (FTC), in partnership with other federal agencies, has released an online tool that provides developers legal guidance for the creation of mobile health applications (apps). Companies that are...more

4/25/2016 - App Developers FTC HHS HIPAA Mobile Health Apps New Guidance NIST ONC Popular

Investment Management Update - March 2016

Below is a summary of recent investment management developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management industry. SEC, FINRA...more

3/25/2016 - Anti-Money Laundering Cybersecurity Derivatives ETFs Exchange-Traded Products Fiduciary Duty Financial Markets FINRA Fund Distribution Investment Management Money Market Funds Mutual Funds OCIE Political Contributions Regulatory Standards Retirement Plan SEC Examination Priorities Whistleblowers

Investment Management Update - December 2015

Below is a summary of recent investment management developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management industry. Supreme...more

12/9/2015 - Anti-Money Laundering Disclosure Requirements Investment Management Liquidity Risk Management Rule SEC

New NIST Guide Advises Healthcare Companies on Securing Patient Health Information on Mobile Devices

In response to a growing demand for cybersecurity guidance in the health care industry, the National Institute of Standards and Technology (NIST), through its National Cybersecurity Center of Excellence, recently published a...more

8/12/2015 - Cyber Attacks Cyber Crimes Cybersecurity Data Breach Data Privacy Data Protection Data Security Hackers Health Information Technologies Healthcare HIPAA Information Technology Mobile Devices NIST Passwords Personally Identifiable Information

SEC Proposed Rule 10D-1 Regarding Clawback Policies

The Securities and Exchange Commission (SEC) recently proposed rules requiring national securities exchanges such as the New York Stock Exchange and NASDAQ to establish listing standards requiring publicly traded companies to...more

7/13/2015 - Clawbacks Comment Period Disclosure Requirements Executive Compensation Incentive Compensation Look-Back Measurement Period Publicly-Traded Companies Rule 10D-1 Sarbanes-Oxley SEC

FDA Issues Guidance on Mobile Medical Devices

The Food and Drug Administration’s recent guidance on mobile medical applications illustrates the FDA’s growing efforts to combat emerging cybersecurity issues that affect patient safety. The guidance, issued in February...more

4/1/2015 - Cybersecurity Diagnostic Method FDA Mobile Apps Mobile Medical Applications New Guidance Physicians Popular

Investment Management Update

OCIE Announces 2015 Priorities - The SEC’s Office of Compliance, Inspections and Examinations (OCIE) recently announced its selected list of 2015 examination priorities for investment advisers, broker-dealers, and...more

3/16/2015 - Broker-Dealer Examination Priorities Investment Adviser Investors OCIE SEC SEC Examination Priorities Transfer Agents

Investment Management Update

SEC’s Focus in 2015 - On December 11, 2014, Mary Jo White, Chair of the U.S. Securities and Exchange Commission (SEC), gave a speech at The New York Times DealBook Opportunities for Tomorrow Conference that...more

1/26/2015 - Excessive Fees Insider Trading Investment Adviser Investment Funds Mary Jo White Municipal Advisers No-Action Letters Pay-To-Play SEC Whistleblower Awards

Investment Management Update

In This Issue: - SEC Announces First-of-Its-Kind Whistleblower Award To an Audit and Compliance Professional - SEC Issues No-Action Letter To Allow for Amendment of a Sub-Advisory Agreement without Shareholder...more

12/18/2014 - Anti-Retaliation Provisions Auditors Business Development Companies Carried Interest European Court of Justice (ECJ) Hedge Funds Investment Adviser Investment Funds Investment Management MSRB Municipal Advisers No-Action Letters Pay-To-Play PCAOB Puerto Rico SCOTUS SEC Social Media Tax Refunds Volcker Rule Whistleblower Awards

Investment Management Update

In July 2014, the SEC settled the previously reported proceeding involving Chariot Advisors, and its former owner, Elliott Shifman, concerning charges of violating and aiding and abetting the violation of Section 15(c) of the...more

7/11/2014 - 401k Anti-Retaliation Provisions Enforcement Actions ERISA EU Investment Advisers Act of 1940 Municipal Advisers Mutual Funds Sarbanes-Oxley SCOTUS SEC Section 15(c) Settlement TFEU

Investment Management Update

Following two recent cases involving investment advisers and social media, the SEC recently issued guidance regarding whether the publication of comments about investment advisers on social media sites would violate those...more

4/29/2014 - Fraud Investment Adviser Investment Advisers Act of 1940 SEC

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