Michael L. Sherman

Michael L. Sherman

Dechert LLP

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It’s Time to Revisit Business Continuity Planning: What Works and What Does Not Work

Recently, the Securities and Exchange Commission (“SEC”) and other U.S. financial regulators (collectively, “Regulators”) issued important guidance related to the need for industry participants to maintain business continuity...more

9/25/2013 - CFTC Continuity of Enterprises Disaster Preparedness Financial Regulatory Reform FINRA NEP OCIE SEC

2013 Examination Priorities of the U.S. SEC’s Office of Compliance Inspections and Examinations

The Office of Compliance Inspections and Examinations (“OCIE”) of the Securities Exchange Commission (“SEC”) on February 21, 2013 announced its examination priorities for this year. These highlight market-wide issues such as...more

3/14/2013 - Broker-Dealer Clearing Agents Conflicts of Interest Fraud Investment Adviser NEP OCIE SEC Transfer Agents

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