News & Analysis as of

New Rules Policies and Procedures Recordkeeping Requirements

Rumberger | Kirk

FINRA Reminds Financial Firms How AI Use Poses Significant Risks

Rumberger | Kirk on

These days, artificial intelligence is everywhere we look, and the financial services industry is no different. As AI use increases, regulatory bodies are updating their rules and guidelines detailing how companies should and...more

Proskauer - The Capital Commitment

Mid-Year Enforcement Update: SEC’s Continued Focus on Private Funds in 2024

As we reach the midpoint of 2024, the SEC has maintained its rigorous enforcement stance on the private funds industry, proposing new rules and oversight tools to better identify and investigate market practices. As 2024...more

Seward & Kissel LLP

T+1 Settlement Cycle: Implications for Investment Advisers

Seward & Kissel LLP on

Starting May 28, 2024, the settlement cycle for most transactions in U.S. securities will shorten from T+2 to T+1 as a result of rule amendments adopted by the Securities and Exchange Commission (SEC).1 The SEC also adopted a...more

Proskauer - The Capital Commitment

Cybersecurity Continues to be a Focal Point for Regulators in 2024

The SEC’s new and proposed rules on cybersecurity and cyber-incident reporting will have a dual impact on private investment advisers and funds. First, the proposal by the SEC will impose cybersecurity related...more

Dechert LLP

SEC Proposes New Cybersecurity Risk Management Rule for Various Market Entities

Dechert LLP on

At an open meeting on March 15, 2023, the U.S. Securities and Exchange Commission voted three to two to propose a new rule, form and amendments (together, “Proposed Rule”) and published an accompanying release (“Release”)...more

Proskauer Rose LLP

SEC Issues Risk Alert Announcing Exams Focused on New Marketing Rule

Proskauer Rose LLP on

On Monday, September 19, 2022, the SEC’s Division of Examinations issued a Risk Alert announcing their intent to conduct targeted reviews of registered investment advisers regarding compliance with amended Advisers Act Rule...more

Goodwin

SEC Cybersecurity Rules Target Investment Advisers and Investment Companies

Goodwin on

On February 9, 2022, the U.S. Securities and Exchange Commission (“SEC”) proposed a package of new rules and amendments to enhance cybersecurity preparedness and improve cyber resilience of investment advisers and investment...more

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