REGULATORY UPDATES -
Recent SEC Leadership Changes -
On January 10, 2023, the Securities and Exchange Commission (the “SEC”) announced the appointment of Cristina Martin Firvida as director of the Office of the Investor...more
4/17/2023
/ AARP ,
Cybersecurity ,
Dodd-Frank ,
Enforcement Actions ,
IFRS ,
Investors ,
Popular ,
Proposed Rules ,
Registered Investment Advisors ,
Regulation S-P ,
Retail Investors ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Self-Regulatory Organizations ,
Special Purpose Acquisition Companies (SPACs)
REGULATORY UPDATES -
Senate Confirms Jackson as Supreme Court Justice -
The Senate has voted to confirm Judge Ketanji Brown Jackson as the 116th Supreme Court justice and the first Black woman and former public defender to...more
REGULATORY UPDATES -
Investors Continue to Press Regulators for Disclosure of Environmental, Social, and Governance (“ESG”) Risks...more
7/19/2019
/ Broker-Dealer ,
Cybersecurity ,
Department of Labor (DOL) ,
Division of Investment Management ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
ETFs ,
Fiduciary Duty ,
Fiduciary Rule ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Company Act of 1940 ,
Investors ,
Mutual Funds ,
OCIE ,
Popular ,
Regulation S-P ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC)
Fund and Investment Management January 2019 (No. 1) REGULATORY UPDATES Policy Initiatives Set Forth by the U.S. Securities and Exchange Commission’s (“SEC”) Investment Management Division On September 28, 2018, Division of...more
1/18/2019
/ Broker-Dealer ,
CCO ,
Cybersecurity ,
Data Breach ,
DTCC ,
Email ,
Enforcement Actions ,
ETFs ,
Investment Companies ,
Investment Management ,
Investors ,
NASAA ,
OCIE ,
Proposed Regulation ,
Securities and Exchange Commission (SEC)
On June 2, 2016, the SEC announced that it hired Christopher R. Hetner, a cybersecurity expert, as the Senior Adviser to the Chair for Cybersecurity Policy. The hire is indicative of the SEC’s focus on cybersecurity measures...more
10/18/2016
/ Anti-Money Laundering ,
Bank Secrecy Act ,
Broker-Dealer ,
Cybersecurity ,
Diversity ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
FinCEN ,
Form ADV ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
IRS ,
OCIE ,
Popular ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC)
Cyberattacks are attempts by hackers to damage, destroy and/or steal data from a computer network or system. From 2013 to 2015, more than 153.6 million people had information stolen in cyberattacks involving companies such as...more
8/16/2016
/ Cyber Attacks ,
Cyber Insurance ,
Cybersecurity ,
Directors ,
Enforcement Actions ,
Hackers ,
Investment Adviser ,
Investors ,
Mutual Funds ,
OCIE ,
Risk Assessment ,
Securities and Exchange Commission (SEC)
Securities and Exchange Commission (“SEC”) Hosts National Compliance Outreach Seminar for Investment Companies and Investment Advisers
In April 2016, the Office of Compliance Inspections and Examinations (“OCIE”), the...more