News & Analysis as of September 21, 2024

Registered Investment Companies (RICs)

+ Follow

Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk... more +

Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk management, global regulations, data protection, leaks, hacking, cyber insurance, compliance, HIPAA, and every other aspect of cybersecurity of import to corporate readers right now. less -

SEC Adopts Amendments To Regulation S-P

Paul Hastings LLP on 6/5/2024

On May 15, 2024, the Securities and Exchange Commission (the “SEC”) adopted amendments to Regulation S-P. Originally passed in 2000, Regulation S-P regulates the treatment of non-public personal information of consumers by...more

SEC EXAMS Division Announces 2024 Priorities Ahead of Schedule

Goodwin on 10/26/2023

On October 16, 2023, the SEC’s Division of Examinations (EXAMS) published its exam priorities for 2024. The timing is notable, with the release coming several months ahead of the typical timeline and only eight months after...more

The Devil Really is in the Details: The SEC Proposed Rule on Cybersecurity Risk Management for Investment Advisors, Registered...

Moore & Van Allen PLLC on 8/9/2022

Late last month the Securities and Exchange Commission (“SEC”) charged JP Morgan, UBS and Trade Station with violations of Regulation S-ID based on a range of inadequacies in their identity theft red flag policies and...more

Analysis: SEC’s Proposed Cyber Rules for RIAs, RICs, and BDCs

Latham & Watkins LLP on 5/9/2022

In another move related to strengthening its cybersecurity enforcement efforts, the SEC announced that it will nearly double the size of its cyber enforcement unit. On May 3, 2022, the SEC announced that it will allocate...more

Dechert Cyber Bits - Issue 8

Dechert LLP on 2/25/2022

SEC Proposes and Seeks Comments on New Cybersecurity Rules - At an open meeting on February 9, 2022, the Securities and Exchange Commission (“SEC”) voted three-to-one to propose new and amended rules regarding cybersecurity...more

SEC Proposes New Cybersecurity Rules for SEC Registered Advisers and Funds

Dechert LLP on 2/24/2022

At an open meeting on February 9, 2022, the Securities and Exchange Commission voted three-to-one to propose new and amended rules regarding cybersecurity risk management, cyber incident reporting and cyber risk disclosure...more

Prepare, Report, Record: SEC Proposes New Cybersecurity Requirements for Investment Advisers and Funds

Fenwick & West LLP on 2/18/2022

In the latest move by a regulator aimed at bolstering cyber defenses, on February 9, 2022, the U.S. Securities and Exchange Commission voted to propose new rules to address the cybersecurity risks faced by registered...more

SEC Proposes New Cybersecurity Risk Management Rules for Registered Investment Advisers, Registered Investment Companies and...

Faegre Drinker Biddle & Reath LLP on 2/16/2022

On February 9, 2022, the U.S. Securities and Exchange Commission (SEC) voted to propose cybersecurity rules applicable to investment advisers and registered investment companies, including business development companies. If...more

SEC Proposes New Cybersecurity Rule under the 1940 Act

Sullivan & Worcester on 2/14/2022

On February 9, 2022, the Securities and Exchange Commission ("SEC") proposed new rule 38a-2 ("Proposed Rule 38a-2") under the Investment Company Act of 1940, as amended ("1940 Act"), which would require registered investment...more

SEC Proposes Cybersecurity Rule for Advisers, Investment Companies

Burr & Forman on 2/14/2022

On February 9, the SEC proposed new cybersecurity risk management regulations for investment advisers, registered investment companies (funds), and business development companies....more

OCIE Releases 2020 Examination Priorities

Dechert LLP on 2/1/2020

The 2020 Examination Priorities of the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission were announced on January 7, 2020, and cover eight broad topics: - Protection...more

Newsflash: OCIE Risk Alert Identifies Reg. S-P Compliance Issues

Dechert LLP on 4/23/2019

The Staff of the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission released a Risk Alert on April 16, 2019, which identifies significant Regulation S-P (Reg. S-P)1...more

Funds Talk: March 2017

Kramer Levin Naftalis & Frankel LLP on 3/2/2017

OCIE Highlights Frequent Topics for Compliance Deficiencies for Investment Advisers - On Feb. 7, 2017, the Securities and Exchange Commission’s (SEC’s) Office of Compliance Inspections and Examinations (“OCIE”) published...more

Orrick's Financial Industry Week In Review

Orrick, Herrington & Sutcliffe LLP on 10/28/2016

Financial Industry Developments - Agencies Issue Advanced Notice of Proposed Rulemaking on Enhanced Cyber Risk Management Standards - On October 19, 2016, the Federal Reserve Board, the Federal Deposit Insurance...more

Financial Services Weekly News - October 2016

Goodwin on 10/6/2016

Editor's Note - Regulation and Innovation, Part IV. In the April 6, June 22 and September 14 editions of the Roundup, we discussed the approaches of various banking regulators generally, and the Office of the...more

SEC Issues Guidance on Business Continuity Planning for Registered Investment Companies

Eversheds Sutherland (US) LLP on 7/18/2016

On June 27, the staff of the Securities and Exchange Commission’s (Commission or SEC) Division of Investment Management (IM) issued a Guidance Update on business continuity planning for registered investment companies...more

16 Results

View per page

Page: of 1

Cybersecurity › Securities and Exchange Commission (SEC) › Registered Investment Companies (RICs)

"My best business intelligence, in one easy email…"