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Lowenstein Sandler LLP

Translating SEC Exam Priorities Into Compliance Action Items

Lowenstein Sandler LLP on

On March 3, the U.S. Securities and Exchange Commission announced its examination priorities for 2021, providing a much-anticipated glimpse into the Biden administration's overall priorities for white collar criminal...more

Eversheds Sutherland (US) LLP

SEC Issues Guidance on Business Continuity Planning for Registered Investment Companies

On June 27, the staff of the Securities and Exchange Commission’s (Commission or SEC) Division of Investment Management (IM) issued a Guidance Update on business continuity planning for registered investment companies...more

Robins Kaplan LLP

[Webinar] Response and Recovery Planning: Corporate Ethics and Compliance Failure - August 11, 1:00pm Central

Robins Kaplan LLP on

Most companies have a plan for disaster recovery related to technology, physical location, and data – but what happens when you must respond to allegations of a violation of customer trust or compliance? Does your...more

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