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Policies and Procedures Risk Management New Regulations

A&O Shearman

PRA policy statement on identification and management of step-in risk

A&O Shearman on

The UK Prudential Regulation Authority (PRA) has published a policy statement on the identification and management of step-in risk (PS5/25). The policy statement provides feedback on responses to consultation paper (CP) 23/23...more

SEC Compliance Consultants, Inc. (SEC³)

Regulatory Roundup for May 2024

SEC DROPS NEW REQUIREMENT FOR INCIDENT RESPONSE PROGRAMS, PROPOSAL FOR RIAS TO ADOPT CIP, SEC EXAMS SHARES MARKETING RULE FAILURES, RIA SLAMMED FOR FAILING TO RETAIN TEXTS, AND SEC WINS ON SHADOW TRADING THEORY - Welcome to...more

Goodwin

SEC Adopts New Regulatory Framework For Registered Fund Derivative Investments

Goodwin on

On October 28, the Securities and Exchange Commission (the “SEC”) adopted Rule 18f-4 (the “Rule”) under the Investment Company Act of 1940 (the “1940 Act”) and amended related rules designed to provide a modernized,...more

Williams Mullen

[Webinar] CLE Institute - The New Rules of the Workplace: The Latest Occupational Health and Safety Regulations Concerning Working...

Williams Mullen on

In this strange new world, employers must navigate how to bring employees back safely to the office and keep them healthy once they are there. This program will cover best practices including complying with OSHA as well as...more

Bricker Graydon LLP

[Webinar] New Title IX Regulations – An Overview for College and University Governing Board Members - May 14th, 3:00 pm - 4:00 pm...

Bricker Graydon LLP on

At long last, the final Title IX regulations have been released! What do they say? How must your policies and procedures change to comply? Our higher ed team is hard at work parsing through 2,033 pages of regulations and...more

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