News & Analysis as of September 24, 2024

Cybersecurity › Securities and Exchange Commission (SEC) › Private Equity

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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 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 -

Expect Focus - Volume II, May 2024

Carlton Fields on 5/29/2024

Last Lap in SEC RILA Rulemaking Critical Unresolved Issues - Congress directed the SEC to adopt a new registration statement for registered indexed annuities (RILAs) by the end of June. Several months ago, the SEC...more

Chief Information Security Officers and cyber whistleblowing: considerations for PE firms

A&O Shearman on 4/3/2024

Managing these risks at a single company should be straightforward. Executives and CISOs may be personally held accountable for cyber failings, negligence, breaches, and inadequate disclosure around cyber vulnerabilities and...more

Examining the SEC’s Slew of Recent Rules and Amendments

Proskauer - The Capital Commitment on 3/26/2024

In a wave of SEC rulemaking this past year, representing a “new world order” event akin to Dodd-Frank, the SEC has provided itself with a fresh set of tools to increase regulatory and enforcement scrutiny on private funds....more

Top Ten Regulatory and Litigation Risks for Private Funds in 2024

Proskauer - The Capital Commitment on 3/19/2024

To understand the litigation and regulatory risks that are coming in 2024 for private capital, it is helpful to look back briefly on recent events. Arguably, the single most important event over the last 18 months was the...more

2024 Insights: Other Regulatory Developments

Skadden, Arps, Slate, Meagher & Flom LLP on 12/22/2023

AI in 2024: Monitoring New Regulation and Staying in Compliance With Existing Laws Companies that develop or employ AI tools have to consider proposed AI-specific regulation as well as an array of existing IP, privacy,...more

Private Equity CISO Fireside Chat – Cybersecurity Leadership in the Age of Generative AI

Skadden, Arps, Slate, Meagher & Flom LLP on 11/6/2023

Partner and co-head of Skadden’s Cybersecurity and Data Privacy practice David Simon recently sat down with two chief information security officers (CISOs) from the private equity sector as part of the firm’s National Cyber...more

SEC Announces 2023 Annual Examination Priorities: Some Takeaways for Private Fund Managers

Foley & Lardner LLP on 3/10/2023

The Division of Examinations (the “Division”) of the U.S. Securities and Exchange Commission (the “SEC”) announced its 2023 examination priorities (the “Examination Priorities”) on February 7, 2023. This annual publication...more

[Webcast Transcript] From Strategy to Tactics: Data Remediation at Private Equity and Hedge Funds

HaystackID on 4/29/2022

On April 20, HaystackID shared an educational webcast developed to discuss best practices for handling big data and provide tangible field-experienced methods for data remediation. These best practices can be implemented at...more

[Webcast] From Strategy to Tactics: Data Remediation at Private Equity and Hedge Funds

HaystackID on 4/14/2022

HaystackID Educational Webcast The SEC recently proposed significant changes for PE reporting requirements. Whether these amendments are adopted or not, one thing is for sure; all alternative investment organizations are on...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

In Case You Missed It: Launch Links - September 2021

WilmerHale on 9/10/2021

Some interesting links we found across the web this week: Should Your Company Implement a Vaccination Mandate? As the Biden administration announced the new federal vaccine requirements on Thursday, an increasing...more

Litigation and Regulatory Considerations and Risks for Financial Market Participants in a Post-Pandemic Society

Jones Day on 5/17/2021

More than a year ago the world fell victim to a global pandemic that would change life in ways that could never have been predicted. In the early stages of the pandemic, we published a White Paper directed at financial...more

Private Equity and Cybersecurity: Threats, Consequences, and the Regulatory Framework

Proskauer - The Capital Commitment on 5/20/2020

Cybersecurity breaches and threats are pervasive concerns for any entity storing valuable data or managing large sums of money: private investment funds are no exception. Recently three private equity firms suffered breaches...more

Investment Management Update

Ballard Spahr LLP on 12/12/2018

Here in is a summary of recent investment management developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management industry....more

Investment Management Update

Ballard Spahr LLP on 10/27/2016

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

Your daily dose of financial news - The Brief – 9.9.16

Robins Kaplan LLP on 9/9/2016

We’ve got a number for that Wells Fargo settlement/fine, and it’s a doozy: $185 million for illegal banking practices (including secretly issuing credit cards without customer consent, signing up customers for online banking...more

Financial Services Weekly News - April 2016

Goodwin on 4/7/2016

Regulatory Developments - DOL Issues Final Fiduciary Rule - On April 6, the Department of Labor (DOL) unveiled its pre-publication final version of the long-awaited fiduciary rule (the Final Rule). Some of the more...more

Fund Manager Annual Update

Mintz on 3/1/2016

The SEC brought a record number of enforcement actions against investment advisers in 2015, resulting in approximately $4.2 billion in sanctions.1 This alert highlights current issues for private equity, venture capital and...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

2015 Proskauer Annual Review and Outlook for Hedge, Private Equity and Other Private Funds

Proskauer Rose LLP on 11/25/2015

Proskauer has released the 2015 Proskauer Annual Review and Outlook for Hedge, Private Equity and Other Private Funds. The 88-page report is a summary of significant legal changes and developments in the private funds space...more

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on 6/1/2015

Compliance Issues With Private Equity Fund Managers Remains a Concern With the SEC - In May of last year, the SEC rang the alarm bells after conducting sweep examinations of private equity fund managers. At that time, the SEC...more

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