News & Analysis as of

Business Disruption Securities and Exchange Commission (SEC)

Mayer Brown Free Writings + Perspectives

SEC Disclosure Considerations Following Bank Sector Disruptions

Recent failures of certain domestic and international banks and resulting government intervention, acquisitions and subsequent developments have resulted in significant disruption in the bank sector. Compliance with U.S....more

Seyfarth Shaw LLP

Event-Driven Securities Litigation in the Age of COVID-19

Seyfarth Shaw LLP on

Seyfarth Synopsis: The COVID-19 pandemic has already spurred several private securities class action lawsuits and Securities and Exchange Commission (“SEC”) enforcement actions. Companies that deal with COVID-19 on a daily...more

Hogan Lovells

Global Accountants’ Liability Update – May 2020

Hogan Lovells on

Recent court decisions - Germany - Cum/Ex-trades spark litigation - So called Cum/Ex-trades have become one of the hottest legal topics in Germany. A flood of claims dealing with those trades has reached German...more

A&O Shearman

Preparing for Market Disruption: Circuit Breakers and Discretionary Trading Halts

A&O Shearman on

The COVID-19 outbreak and the breakdown of negotiations between oil producers have contributed to a fall in the stock market, ending the longest bull market in history and bringing about a period of volatility. As of March...more

A&O Shearman

Significant Business Disruptions: Considerations for Broker-Dealers

A&O Shearman on

In light of the threats posed by natural disasters, pandemics and civil disorder, among other events, businesses of all types must formulate responses to address significant business disruptions (“SBDs”) and the safety of...more

King & Spalding

REIT Advisor - June 2017

King & Spalding on

Business Disruption Risk - Given the recent events around the world, including both terrorist attacks and severe storms, REITs continue to cite business interruption risks as a significant concern for implementing...more

Orrick - Finance 20/20

SEC Proposes Rule Requiring Investment Advisers to Adopt Business Continuity and Transition Plans

Orrick - Finance 20/20 on

On June 28, 2016, the Securities and Exchange Commission proposed a new rule that would require registered investment advisers to adopt and implement written business continuity and transition plans. In announcing the...more

WilmerHale

SEC Proposes New Requirement for Business Continuity Plans for Investment Advisers

WilmerHale on

On June 28, 2016, the Securities and Exchange Commission (“SEC”) proposed a rule that would require all SEC-registered investment advisers to adopt and implement a business continuity and transition plan (“BCP”). The BCP...more

Proskauer Rose LLP

SEC Proposes Rule Requiring Registered Advisers to Adopt Business Continuity and Transition Plans

Proskauer Rose LLP on

On June 28, 2016, the Securities and Exchange Commission (SEC) proposed new Rule 206(4)-4 under the Investment Advisers Act of 1940 (Advisers Act) that would require registered investment advisers to adopt and implement...more

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