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Publicly-Traded Companies Risk Alert

Opportune LLP

What Does The Future Hold For ESG Reporting?

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As more ESG-linked funds flood the financial markets, increased scrutiny around ESG reporting will be necessary to enhance transparency....more

Eversheds Sutherland (US) LLP

Greenwashing: A survey of recent litigation

As climate change jurisprudence continues to evolve, an offshoot of “greenwashing” claims has generated a series of headline-grabbing lawsuits. The definitions vary but most references to greenwashing include claims...more

Morgan Lewis

The SEC Staff Takes On ESG Investing

Morgan Lewis on

In the US Securities and Exchange Commission staff’s most recent guidance addressing environmental, social, and governance (ESG) investing, the staff of the Division of Examinations released an April 9 Risk Alert noting...more

Mayer Brown Free Writings + Perspectives

SEC Examinations Division Issues Risk Alert on ESG Products and Services

On April 9, 2021, the Division of Examinations of the US Securities and Exchange Commission (“Division” or “staff”) issued a risk alert to highlight the staff’s observations from its recent examinations of investment...more

Stinson - Corporate & Securities Law Blog

SEC Risk Alert Notes Deficiencies in ESG Investing Processes

The SEC Division of Examinations has issued a Risk Alert to highlight observations from recent exams of investment advisers, registered investment companies, and private funds offering ESG products and services....more

Dechert LLP

OCIE Cyber Risk Alert Identifies Increase in Sophistication of Ransomware Attacks on SEC Registrants

Dechert LLP on

The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) issued a cybersecurity risk alert on July 10, 2020 regarding ransomware (Alert). In the Alert, OCIE described “recent reports”...more

BCLP

SEC alerts public companies of increase in sophisticated ransomware attacks

BCLP on

The SEC’s Office of Compliance and Examinations (OCIE) issued a risk alert on July 10 about its observation of an apparent increase in sophistication of ransomware attacks on SEC registrants, including broker-dealers,...more

Proskauer Rose LLP

SEC Releases Risk Alert Identifying Common Private Equity and Hedge Fund Compliance Deficiencies

Proskauer Rose LLP on

On June 23rd, the staff of the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) issued a new risk alert entitled “Observations from Examinations of Investment Advisers...more

White & Case LLP

Ensuring an Effective Cybersecurity Program: Best Practices from the SEC and OCIE

White & Case LLP on

The Securities and Exchange Commission (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) recently released a report summarizing best practices for securities market participants, including public companies,...more

BakerHostetler

2014 Mid-Year Report Securities Litigation and Regulatory Enforcement

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Welcome to the 2014 Mid-Year Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team. Its purpose is to provide a periodic survey, apart from our team Executive Alerts, on matters we...more

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