News & Analysis as of

Third-Party Recordkeeping Requirements

NAVEX

What a New SEC Enforcement Sweep Is Really Telling Us

NAVEX on

Attention all compliance officers at large technology companies – have you checked your mail lately? Because you might find a letter from the Securities and Exchange Commission with FCPA risk written all over it....more

American Conference Institute (ACI)

The Role of Artificial Intelligence in Ephemeral Messaging

As U.S. regulators and enforcement authorities alike become increasingly focused on corporate oversight practices of their employees' use of third-party messaging applications, including ephemeral messaging, companies should...more

Holland & Knight LLP

Changing of the Guard? SEC Proposes Significant Amendments to the Safeguards Rule

Holland & Knight LLP on

The SEC continued its recent onslaught of proposed cybersecurity rules in mid-March with three new proposals covering a litany of entities, including investment advisers, broker-dealers, investment companies, clearing...more

Jackson Lewis P.C.

New Jersey Enacts ‘Bill of Rights’ for Temporary Workers

Jackson Lewis P.C. on

New Jersey Governor Phil Murphy has signed into law the “Temporary Workers’ Bill of Rights,” providing temporary workers significant rights regarding their employment through temporary help service firms. Notice obligations...more

Lowenstein Sandler LLP

SEC Proposes Rule Requiring Service Provider Due Diligence and Monitoring by Registered Investment Advisers

Lowenstein Sandler LLP on

On October 26, the Securities and Exchange Commission (SEC) issued a rule release (Release) that proposed new and amended rules (Proposed Rule) under the Investment Advisers Act of 1940, as amended (Advisers Act)....more

Dechert LLP

SEC Adopts Amendments to Rule 17a-4 Electronic Recordkeeping Requirement

Dechert LLP on

The Securities and Exchange Commission on October 12, 2022, adopted amendments to the electronic recordkeeping requirements for broker-dealers, security-based swap dealers (SBSDs), and major security-based swap participants...more

Jackson Lewis P.C.

OSHA ETS: What Records Must Covered Employers Collect, Retain, Safeguard, and Make Available Upon Request

Jackson Lewis P.C. on

Last week, the Occupational Safety and Health Administration (OSHA) issued an Emergency Temporary Standard (ETS) implementing President Joe Biden’s COVID-19 vaccine mandate covering employers with at least 100 employees. The...more

Morrison & Foerster LLP

The CSBS Finalizes Model Framework for Virtual Currencies

On September 15, 2015, the Conference of State Bank Supervisors (“CSBS”) issued its final Model Regulatory Framework on virtual currency activities (“Final Framework”). The Final Framework follows the CSBS’s December 2014...more

Skadden, Arps, Slate, Meagher & Flom LLP

"CFTC Staff Issues More No-Action Letters to Commodity Pool Operators"

Over the last month, the Division of Swap Dealer and Intermediary Oversight (DSIO) of the Commodity Futures Trading Commission (CFTC) issued four letters providing exemptive, no-action and interpretative relief to commodity...more

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