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Cybersecurity › Disclosure Requirements › Conflicts of Interest

Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk... more +
Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk management, global regulations, data protection, leaks, hacking, cyber insurance, compliance, HIPAA, and every other aspect of cybersecurity of import to corporate readers right now.   less -
Ropes & Gray LLP

Ropes & Gray’s Investment Management Update October – November 2024

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The following summarizes recent legal developments of note affecting the mutual fund/investment management industry. On October 21, 2024, the SEC Division of Examinations (“EXAMS”) published its annual Examination Priorities...more

NAVEX

The Value of a Platform Approach to Compliance

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Think of it as the compliance version of The Butterfly Effect – a small, unnoticed, action, or failure to act, somewhere in the organization that balloons over time into a much larger, material issue. Maybe an employee is...more

Davis Wright Tremaine LLP

Investment Adviser Expectations in 2024

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Like many other industries, Registered Investment Advisers ("RIAs") have dealt with significant regulatory, technological, and systemic change in recent years. Compared to FINRA-regulated entities, RIAs often face these...more

UB Greensfelder LLP

[Webinar] What Was New at the SEC in 2023? - December 7th, 12:00 pm - 1:00 pm EST

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Join Ulmer partner Frances Floriano Goins as she shares an overview of the Securities and Exchange Commission's 2023 ammendments and rules regarding: - enhanced customer protection practices - disclosure of...more

Skadden, Arps, Slate, Meagher & Flom LLP

Investment Management Update - November 2023

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...SEC Adopts Amendments to Fund Names Rule - On September 20, 2023, the U.S. Securities and Exchange Commission (SEC) adopted amendments to Rule 35d-1 under the Investment Company Act of 1940 (the Fund Names Rule) as well...more

Latham & Watkins LLP

Recent Developments for Directors - October 2023 Edition

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SEC Adopts Final Rules on Cybersecurity Disclosures - The SEC has adopted rules requiring companies to provide disclosure within four business days of determining that a material cybersecurity incident has occurred, and...more

NAVEX

Navigating the AI Landscape: Ensuring Security in Closed System Implementations

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It seems that nowadays you can’t open an internet browser without seeing multiple stories about Artificial Intelligence (AI). While AI has existed for many years, the advent of large language models and generative AI such as...more

Oberheiden P.C.

SEC Exam Priorities for 2023

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Find Out What Companies and Investment Firms Need to Know about the SEC’s Exam Priorities for 2023 - Each year, the U.S. Securities and Exchange Commission (SEC) publishes its annual examination priorities. This report...more

Health Care Compliance Association (HCCA)

[Event] Research Compliance Conference - June 8th - 10th, Anaheim, CA

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Hear about the latest in research compliance - Do you want to learn… - How to prepare for upcoming changes in Medicaid? - Ways to build and maintain a better research compliance work plan for your program? - How...more

Society of Corporate Compliance and Ethics...

[Event] Basic Compliance & Ethics Academy - January 24th - 27th, Orlando, FL

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Are you looking to better… - Support, enhance, and manage a compliance and ethics program? - Mitigate risk within your organization? - Understand the components of effective program infrastructure? SCCE’s Basic...more

Akin Gump Strauss Hauer & Feld LLP

New SIAC Rules: The Need For Refinement

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Last month, the Singapore International Arbitration Centre (SIAC) started a review and revision of its 2016 Rules (the “2020 Review”). The 2016 Rules introduced a number of novel provisions to address “early dismissal of...more

Proskauer Rose LLP

OCIE's 2020 Exam Priorities — Key Takeaways for Private Fund Managers

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Last week, the SEC's Office of Compliance Inspections and Examinations released its 2020 Exam Priorities with a number of areas of interest to private fund managers. OCIE reported that it examined 15% of registered investment...more

Ballard Spahr LLP

Investment Management Update

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Investment Adviser AXA Wins Excessive Fee Trial - A federal judge in New Jersey has ruled in favor of AXA Equitable Life Insurance Company (AXA Equitable) and its wholly owned subsidiary, AXA Equitable Funds Management...more

Foley & Lardner LLP

A Compilation of Enforcement and Non-Enforcement Actions

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Non-Enforcement - SEC Decides Against Mounting an Appeal in Koch Ruling - The July 2015 ruling by the D.C. Circuit Court in Koch v. SEC will apparently not be challenged by the SEC. The Court ruled in that...more

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