News & Analysis as of September 21, 2024

Cybersecurity › Securities and Exchange Commission (SEC) › Chief Compliance Officers

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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 -

Implications of the SEC Cybersecurity Disclosure Rule

Society of Corporate Compliance and Ethics... on 8/29/2024

In 2023 the US Securities and Exchange Commission adopted rules “requiring registrants to disclose material cybersecurity incidents they experience and to disclose on an annual basis material information regarding their...more

[Event] FCPA & Anti-Corruption for the Life Sciences Industry - May 9th - 10th, New York, NY

American Conference Institute (ACI) on 3/13/2024

Hosted by the American Conference Institute, the 19th Annual FCPA & Anti-Corruption Conference for the Life Sciences Industry returns for another exciting year with carefully researched programming based on critical findings...more

Risk & Compliance as a Strategic Imperative for the Board

NAVEX on 2/20/2024

In an era marked by heightened global regulatory scrutiny and enforcement, the landscape of risk and compliance is undergoing an evolution making the strategic imperative for effective, risk-based compliance initiatives...more

Legal Insights for Manufacturing: Outlook for 2024

Husch Blackwell LLP on 11/2/2023

Our downloadable report, Legal Insights for Manufacturing, explores how the business, legal, and regulatory framework is evolving—and will evolve—to address the large generational shifts taking place. This year, our report...more

Third-Party Risks Making Headlines in 2023 and How to Prepare

NAVEX on 4/19/2023

Third parties have posed significant risks to companies for years, but perhaps more so now than ever before. Cyber threats, Russia sanctions, and a new wave of child labor in the United States are just a few risks making...more

Bringing Together the People, Processes, and Tools for Cyber Risk Management

NAVEX on 5/4/2022

Last month I wrote a post for this blog about the Securities and Exchange Commission’s proposals for more disclosure of cybersecurity issues. We reviewed some of the governance disclosures that boards might need to make, as...more

Top 5 SEC Enforcement Developments for March 2022

Morrison & Foerster LLP on 4/6/2022

As a fitting cap to a busy month, on March 30, the SEC Division of Examinations announced its 2022 Examination Priorities. These priorities are consistent with the recent activities of the SEC more generally, as exemplified...more

3 Coronavirus Compliance Tips From the SEC

NAVEX on 8/21/2020

The coronavirus crisis is far from over, and compliance professionals still need every scrap of guidance that regulators can provide about how to run compliance programs in these difficult times. So when the Securities and...more

Leading Federal Officials Offer Advice on How Corporations Can Minimize Law Enforcement Risk

Holland & Knight LLP on 12/5/2019

Holland & Knight, the Florida Chamber of Commerce and the Miami-Dade Beacon Council hosted the Second Annual Florida Enforcement Summit on Nov. 20, 2019. The half-day program focused on informing the business community how to...more

DBO Warns Of False Flag Email

Allen Matkins on 9/9/2019

Impersonating government agencies and officials is nothing new. The Financial Industry Regulatory Authority, Inc. (FINRA) issued this detailed warning of this practice in 2016. Two years later, the Securities and Exchange...more

The SEC's National Exam Program 2019

Dorsey & Whitney LLP on 1/10/2019

The SEC's Office of Compliance Inspections and Examinations (“OCIE” or the “Office”) announced its 2019 Examination Priorities just before Christmas and the current Government partial-shutdown (here). While nonemergency...more

Private Equity Fund Managers: Annual Compliance Reminders and New Developments

Latham & Watkins LLP on 3/27/2018

Summary of private equity firms’ compliance obligations, discussion of notable developments in 2017, and outlook for 2018. US federal laws and regulations, as well as the rules of self-regulatory organizations (SROs),...more

SEC Announces 2018 Compliance Outreach Program Seminar for Investment Advisers and Investment Companies

Proskauer - The Capital Commitment on 2/19/2018

On Tuesday, February 13th, the Securities and Exchange Commission (SEC) announced the opening of registration for its 2018 national compliance outreach seminar for investment companies and investment advisers. The event is...more

Funds Talk: March 2017

Kramer Levin Naftalis & Frankel LLP on 3/2/2017

OCIE Highlights Frequent Topics for Compliance Deficiencies for Investment Advisers - On Feb. 7, 2017, the Securities and Exchange Commission’s (SEC’s) Office of Compliance Inspections and Examinations (“OCIE”) published...more

SEC Proposes New BCP Rule and Issues Guidance

K&L Gates LLP on 10/12/2016

On June 28, 2016, the Securities and Exchange Commission (the “SEC”) released a proposed rule (the “Proposed Rule”) that would require registered investment advisers (“RIAs”) to adopt written business continuity and...more

Securities Enforcement: 2016 Mid-Year Review

A&O Shearman on 7/20/2016

The Securities and Exchange Commission (the SEC or the Commission) brought over 400 enforcement actions in the first half of 2016 and is on pace to surpass its record of 807 enforcements actions in a single fiscal year, which...more

SEC Issues Guidance on Business Continuity Planning for Registered Investment Companies

Eversheds Sutherland (US) LLP on 7/18/2016

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

Reports Reveal Four Cyber Security Trends—and the Need for Better Cyber Security Training & Awareness

NAVEX on 5/5/2016

As cyber security issues continue to escalate and evolve, compliance officers have more opportunities to better protect and defend their organizations from cyber risk. One of compliance officers’ responsibilities is to stay...more

Private Equity Fund Managers: Annual Compliance Reminders and New Developments

Latham & Watkins LLP on 2/9/2016

Summary of private equity firms’ compliance obligations, discussion of notable developments in 2015 and outlook for 2016. US federal laws and regulations, as well as the rules of self-regulatory organizations (SROs),...more

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on 11/2/2015

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

Whom Should You Suspend During an Internal Investigation?

Thomas Fox - Compliance Evangelist on 10/27/2015

Whom to suspend during any Foreign Corrupt Practices Act (FCPA) investigation is always a delicate question to answer. Unfortunately there is never an easy answer. As the Volkswagen (VW) emission-testing scandal continues to...more

SEC Enforcement Actions Against Investment Advisers

K&L Gates LLP on 10/22/2015

According to the SEC’s most recent financial report, as of August 2014, SEC-registered investment advisers managed $62.3 trillion in assets. Not surprisingly, investment advisers attract a great deal of attention from the...more

2015-16 Compliance Developments & Calendar for Private Fund Advisers

Akin Gump Strauss Hauer & Feld LLP on 10/20/2015

Registered investment advisers (RIAs) are required to review their policies and procedures on at least an annual basis. As an aid to the required review and to assist with timely completion of required compliance tasks, below...more

Compliance at the Tipping Point, Part IV – The Schrems Decision

Thomas Fox - Compliance Evangelist on 10/15/2015

I continue my exploration of why I believe that compliance is at the Tipping Point, with today’s entry of data point four, which is last week’s decision by the European Court of Justice (ECJ) in the Schrems case. While most...more

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on 10/1/2015

Non-Enforcement Cybersecurity Is At the Top of SEC Examination Concerns In a recent SEC “risk alert” for registered broker-dealers and investment advisers, the SEC’s Office of Compliance Inspections and Examinations (OCIE)...more

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