On October 21, 2024, the Securities and Exchange Commission (“SEC”)’s Division of Examinations (the “Division”) released its 2025 examination priorities....more
10/30/2024
/ Asset Management ,
Broker-Dealer ,
Compliance ,
Cryptocurrency ,
Cybersecurity ,
ETFs ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Companies ,
Private Funds ,
Registered Investment Advisors ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)
On June 18, 2024, the Securities and Exchange Commission (“SEC”) announced a $2.1 million civil penalty settlement of charges against R.R. Donnelley & Sons (“RRD”), a global provider of business communications services and...more
On December 18, 2023, prior to the trading session, VF Corp. (NYSE:VFC) issued a press release disclosing that the company was investigating unauthorized activity on its computer systems – and that the intrusion had encrypted...more
On November 14, 2023, the Securities and Exchange Commission (the “SEC”) published its enforcement results for fiscal year 2023. FY23 was another active year in terms of SEC enforcement, with a 3 percent increase in total...more
12/6/2023
/ Cryptoassets ,
Cryptocurrency ,
Cybersecurity ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
Fraud ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Unregistered Securities ,
Whistleblowers
On Monday, October 16, the Securities and Exchange Commission’s (“SEC”) Division of Examinations (“Division”) “released its 2024 examination priorities to inform investors and registrants of the key risks, examination topics,...more
On March 15, 2023, the Securities and Exchange Commission (“SEC”) proposed a new rule concerning cybersecurity risk management as well as updates to Regulations S-P and SCI (Systems Compliance Integrity).[1] With these...more
Last month, we wrote about three actions taken by the SEC signaling a renewed interest in cybersecurity disclosure enforcement. In keeping with this theme, the SEC announced a number of significant new cybersecurity actions...more
The SEC is ramping up its cybersecurity disclosure enforcement. While the agency had made significant efforts relating to cybersecurity disclosure previously, there has been surprisingly little SEC activity in this area...more