Asset Management, Policies and Procedures, Cybersecurity

Lessons From 2024: Tips for Private Fund Managers

SEC Compliance Consultants, Inc. (SEC³) on 1/27/2025

As we look back on the SEC’s actions in 2024, we wanted to share our thoughts on lessons learned that we believe will carry through to 2025....more

Increased Regulatory Focus on Privacy and Cybersecurity for Private Funds in 2022

Proskauer - The Capital Commitment on 3/16/2022

2021 continued the trend of increased regulatory focus on privacy and cybersecurity for private investment funds in the U.S. and abroad. There are no signs of the trend leveling off any time soon. One of the topics that...more

Dechert Cyber Bits - Issue 8

Dechert LLP on 2/25/2022

SEC Proposes and Seeks Comments on New Cybersecurity Rules - At an open meeting on February 9, 2022, the Securities and Exchange Commission (“SEC”) voted three-to-one to propose new and amended rules regarding cybersecurity...more

UK’s Financial Conduct Authority Warns That Fund Managers Are at Increased Risk of Cyber Attacks

Proskauer - The Capital Commitment on 8/28/2020

With 46% of UK business reporting a cyber attack during 2019/2020 and 32% reporting at least one a week – see the UK Government’s Cyber Security Breaches Survey 2020 – the UK’s Financial Conduct Authority (“FCA”) has issued a...more

SEC Risk Alert Highlights on COVID-19-Related Compliance Risks and Considerations for Investment Advisers and Broker-Dealers

Akin Gump Strauss Hauer & Feld LLP on 8/21/2020

- The OCIE of the SEC highlights that responses to COVID-19 present important regulatory and compliance issues for SEC registrants, including “heightened risks of misconduct” tied to recent market volatility. - The Risk...more

UK Conduct Authority Publishes Findings of Review of Risk Modelling and Other Portfolio Management Tools in the Asset Management...

A&O Shearman on 1/24/2020

The U.K. Financial Conduct Authority has published a report on its review of how firms in the asset management sector selected and used risk modelling and other portfolio management tools. The review was undertaken to assess...more

Highlights From SEC Speaks 2018: Litigation and Enforcement Trends

Vedder Price on 3/1/2018

The U.S. Securities and Exchange Commission (“SEC” or the “Commission”) held its annual SEC Speaks conference in Washington, DC on February 23 and 24, 2018 and provided remarks from the Chairman and commissioners, discussions...more

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