California Employment News: Pay Transparency Coming to California
Employment Law Now VI-121 - Top 5 Fall Things You Need To Know
California's New COVID-19 Sick Leave Mandate: What Employers Need to Know
FLSA and Wage and Hour Issues for Restaurants
Practical Training for Project Managers & Supervisors Two-Part Webinar Series: Part Two
NGE OnDemand: The Importance of Timely Reporting Occurrences, Claims and Suits to Insurers with Paul Walker-Bright
#WorkforceWednesday: DOL Electronic Notices Guidance, EEO-1 Reporting Delayed, CA COVID-19 Paid Sick Leave - Employment Law This Week®
Advancing Agriculture: Security Interests and Article 9 Challenges (Part 2)
#WorkforceWednesday: Sick Leave in New York, California Law Update, and Oregon’s Workplace Fairness Act Takes Effect
Navigating the New Normal: Risk Management and Legal Considerations for Real Estate Companies
COBRA: Avoid Getting Snakebit! (Notice Update, Deadline Update, Litigation Update)
Cutting Costs With Employee Benefit Plans (Part 5 of 5) – Implementation
Butler's Thursday Tips #7 | Civil Remedy Notices
The Blunt Truth About Testing Employees For Marijuana In California (part one)
#BigIdeas2020: Facial Recognition Technology and Employer Compliance - Employment Law This Week® - Trending News
CF on Cyber: Key Takeaways from the California AG’s Proposed CCPA Regulations
Contractual Notice Requirements: Do You Really Need Them?
Report: Chinese Military Now Hacking American Businesses
Safeguards against Data Security Breaches (Part One)
FTC Hits Path with $800k Fine, Continues to Make Mobile Privacy a Priority
The Proposed Rule would require registered investment advisers (RIAs) and exempt reporting advisers (ERAs) to establish, document and maintain written customer identification programs (CIPs). The Proposed Rule comes...more
The Securities and Exchange Commission (“SEC”) has announced the adoption of amendments to Regulation S-P (“Amendments”) to modernize and enhance the rules that govern the treatment of consumers’ nonpublic personal...more
On May 16, 2024, the U.S. Securities and Exchange Commission (“SEC”) adopted amendments to Regulation S-P (“Reg S-P”) that are intended to help protect investors’ privacy from the “expanded use of technology and corresponding...more
Last week, the Securities and Exchange Commission imposed expanded privacy and cybersecurity obligations on fund managers and sponsors registered with the SEC as investment advisers. While many registered investment advisers...more
The Securities and Exchange Commission recently adopted significant changes to Rule 35d-1 under the Investment Company Act of 1940 (Names Rule), as well as certain forms and disclosure requirements on September 20, 2023...more
On August 23, 2023, the U.S. Securities and Exchange Commission (SEC) adopted new and amended rules under the Investment Advisers Act of 1940, as amended (the Advisers Act), to address what it perceives as certain conflicts...more
On March 15, 2023, the U.S. Securities and Exchange Commission (“SEC”) released its proposal to amend Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information (the “Proposed...more
On July 22, 2020, the U.S. Securities and Exchange Commission (SEC), by a 3-1 vote, adopted amendments to the federal proxy rules relating to proxy voting advice businesses (proxy advisors). The amendments categorize the...more
This issue includes summaries and associated court opinions of selected cases principally decided between October 2019 and January 2020. ...more
On March 13, 2020, the staff of the Securities and Exchange Commission (“SEC”) issued an exemptive order providing relief from certain provisions of the Investment Company Act of 1940, as amended (the “1940 Act”), to...more
SEC Tells Firms to Stop Missing the Basics on Cybersecurity - The SEC’s Office of Compliance Inspections and Examinations (OCIE) reported in a recent Risk Alert that many investment advisers and broker-dealers are failing to...more
What happened? On June 5, in a three-to-one vote, the US Securities and Exchange Commission (SEC) adopted a comprehensive package of rulemakings and interpretations governing the standard of conduct applicable to...more
• The SEC released a Risk Alert summarizing key areas in which it continues to see compliance deficiencies related to Regulation S-P, the primary SEC rule regarding privacy notices and safeguard policies of investment...more
The SEC has again signaled that now is the time for investment advisers and broker-dealers to get serious about compliance with Reg. S-P. For years, the SEC’s examination priorities have included a focus on cybersecurity...more
I am hardly saying that SEC Regulation S-P is the sexiest of regulations. I mean, has any customer is history actually read one of those exciting statement stuffers that discloses in some dense font a BD’s privacy policy?...more
It is not a wise career move for a registered rep to leave his broker-dealer – thereby abandoning his customers, and affording competitors the opportunity to make his customers their own – and then to begin the long,...more
On June 27th, the Court of Appeals of the State of Georgia issued an opinion in HA&W Capital Partners LLC et al v. Bhandari et al that will have significant implications for Georgia-based investment advisers and potentially...more
The U.S. Securities and Exchange Commission (SEC or Commission) has adopted new Rule 30e-3 under the Investment Company Act of 1940 (1940 Act)1 that provides an optional “notice and access” method to allow certain registered...more
The Tenth Circuit recently affirmed the Department of Labor’s authority to impose new conditions for exemption from prohibited transaction rules with respect to the sale of annuity contracts. The case related to the...more
This alert contains a summary of the primary annual and periodic compliance-related obligations that may apply to investment advisers registered with the Securities and Exchange Commission (the “SEC”) or with a particular...more
Encryption Flaw "Heartbleed" Creates Data Risk: How Insurance Can Stanch the Bleeding - In early April, news broke of an encryption flaw named “Heartbleed” that exposed companies to data breaches for over two and one...more
As a reminder, investment advisers who are subject to any state registration, renewal or notice filing fees must fund their IARD accounts by this Friday, December 13 in order to cover such fees. This deadline applies to the...more