Executive Summary - In a significant step toward improving variable insurance product (“VIP”) disclosure, the U.S. Securities and Exchange Commission (“SEC”), on October 30, 2018, proposed a new rule (the “Summary Prospectus...more
Many states and municipalities have adopted laws and regulations that affect how investment managers may solicit investment advisory business, including investment in sponsored public and private funds, from the state...more
“Risk is sexy?” - Anonymous GC -
Not every Director or General Counsel (GC) is likely to describe risk analysis as “sexy” but there is little doubt that risk issues have demanded a board level focus which would have been...more
7/5/2016
/ Chief Compliance Officers ,
EU ,
Natural Gas ,
Oil & Gas ,
Oil Prices ,
Referendums ,
Risk Assessment ,
Risk Mitigation ,
Serious Fraud Office (SFO) ,
UK ,
UK Brexit ,
UK Bribery Act
Many Americans listened last week to the admissions by the now former President of Volkswagen that the company had been “dishonest” and had cheated on the U.S. emissions tests. How was this happening at the world’s #1...more
9/30/2015
/ Automotive Industry ,
Chief Compliance Officers ,
Clean Air Act ,
Compliance ,
Consumer Product Safety Act (CPSA) ,
Department of Justice (DOJ) ,
Environmental Protection Agency (EPA) ,
EU ,
Fraud ,
General Motors ,
Government Investigations ,
Motor Vehicles ,
National Emissions Standards ,
NHTSA ,
Regulatory Standards ,
Risk Assessment ,
Risk Management ,
Volkswagen ,
White Collar Crimes
On July 23, 2014, the Securities and Exchange Commission (the SEC) adopted final rules governing the structure and operation of money market funds (MMFs), in a release adopting amendments to Rule 2a-7 (Rule) under the...more
Now more than ever, there is a need for risk solutions in the boardroom. Any organization can be faced with a significant crisis, whether a fraud investigation, a regulatory infringement, allegations of anticompetitive...more
Many states and municipalities have adopted laws and regulations that affect how investment managers may solicit investment advisory business, including investment in sponsored public and private funds, from the state...more