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Risk Management Administrative Law Judge (ALJ)

SEC Compliance Consultants, Inc. (SEC³)

Regulatory Roundup for July 2024

SEC Loses in ALJ Case, DOL’s Latest Fiduciary Rule Put on Hold, and SEC Reconsiders AI and Custody Rule Proposals - Welcome to our July Regulatory Roundup, where we provide a quick look at the latest regulatory developments....more

Robinson & Cole LLP

Data Privacy + Cybersecurity Insider - June 2018 #3

Robinson & Cole LLP on

Just days after the summit between the U.S. and North Korea, the Federal Bureau of Investigation (FBI) and the Department of Homeland Security issued a warning about a malicious malware, a Trojan malware variant known as...more

Perkins Coie

Preparing for the SEC’s Increased Pursuit of Compliance Officers

Perkins Coie on

The SEC’s recent aggressive enforcement posture against chief compliance officers has raised many concerns, including whether the SEC’s actions are actually chilling robust compliance efforts. To protect themselves against...more

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