News & Analysis as of

Risk Assessment Amended Rules

Goodwin

SEC Adopts New Regulatory Framework For Registered Fund Derivative Investments

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On October 28, the Securities and Exchange Commission (the “SEC”) adopted Rule 18f-4 (the “Rule”) under the Investment Company Act of 1940 (the “1940 Act”) and amended related rules designed to provide a modernized,...more

Akin Gump Strauss Hauer & Feld LLP

SEC Votes to Adopt Rule Amendments to Modernize Disclosures of Business, Legal Proceedings, and Risk Factors Under Regulation S-K

On August 26, 2020, the Securities and Exchange Commission (SEC) voted to adopt amendments that modernize the description of business (Item 101), legal proceedings (Item 103) and risk factor disclosures (Item 105) that...more

WilmerHale

SEC Refreshes Its Business, Legal Proceedings and Risk Factor Disclosure Requirements

WilmerHale on

The business world has changed a lot in the last three decades, and, as a result of recent amendments to Item 101 of Regulation S-K, the description of a company’s business included in registration statements and periodic...more

Dechert LLP

SEC Updates Rule 17H Risk Assessment Thresholds for Certain Broker Dealers

Dechert LLP on

The Securities and Exchange Commission issued an order (Order)1 on June 29, 2020, under Section 17(h)(4) of the Securities Exchange Act of 1934, raising the thresholds for compliance with the recordkeeping and reporting...more

Dechert LLP

Five Things for Employers to Consider in 2020

Dechert LLP on

Various changes to employment law are coming into force over the next few months which should prompt employers to consider reviewing and, where necessary, updating their employment documentation and/or processes. Five...more

Sunstein LLP

California Leads the Nation in Privacy Protection, But To Where?

Sunstein LLP on

The California Consumer Protection Act (CCPA) is scheduled to take effect on January 1, 2020. In recent days: - The Governor of California signed into law seven CCPA amendments, - The California Attorney General...more

Farella Braun + Martel LLP

Changing Climate, Changing Laws: Addressing CEQA’s New Wildfire Risk Requirements in Project Development

Wildfires pose an increasingly serious threat to the public and environment in California. So it should be no surprise that the Governor’s Office of Planning and Research (OPR) amended Appendix G of California Environmental...more

Seyfarth Shaw LLP

Auto Manufacturers: Don’t Forget the Amended Franchise Rule When Considering New Business Opportunities

Seyfarth Shaw LLP on

As competition intensifies and auto manufacturers and distributors look for new ways to realize value from their brands, they and their counsel would do well to familiarize themselves with the Federal Trade Commission’s (FTC)...more

Latham & Watkins LLP

NYSDFS Revises Cybersecurity Rules to Accommodate Industry Concerns

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The revised regulations eliminate many of the categorical requirements in the original proposal and instead adopt a more risk-based approach. On December 28, 2016, the New York State Department of Financial Services...more

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