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Reporting Requirements Business Continuity Plans

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How to Conduct Compliance Risk Assessment Efficiently (+Compliance Risk Assessment Template)

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Is your business in compliance with every law, rule, and regulation that it should be? If you can’t confidently say yes, it’s time for a compliance risk assessment. And even if you could confidently say yes six months ago,...more

BakerHostetler

NYDFS Proposed Amendments to Its Cybersecurity Rules

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​​​​​​​On July 29, the New York Department of Financial Services (NYDFS) released Draft Amendments to its Part 500 Cybersecurity Rules that include a number of significant amendments to the rules, including notification...more

McDermott Will & Emery

Corporate Authority for Extraordinary Delivery of Care Decisions

Healthcare providers facing emergency requests from government agencies in response to the Coronavirus (COVID-19) crisis — including critical issues such as transfers of COVID-19 patients, opening closed facilities and...more

Bracewell LLP

Regulating Broker-Dealers at a (Social) Distance: FINRA Provides COVID-19 Business Continuity Planning Guidance and Regulatory...

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In just a short period of time, the COVID-19 pandemic has triggered a revolution in how we live our lives and do our jobs. These changes have extended to the regulation of the financial industry. While FINRA emphasizes that...more

Bricker Graydon LLP

COVID-19 Update: Ohio confirms first cases

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As the first confirmed cases of COVID-19 were reported in Ohio on March 9, 2020, Governor DeWine declared a state of emergency for all of Ohio. Executive Order 2020-01D serves primarily to authorize state agencies to...more

Proskauer Rose LLP

SEC and PCAOB Issue Joint Statement on the Effects of Coronavirus on Financial Reporting

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The World Health Organization declared the outbreak of novel coronavirus (COVID-19) a public health emergency of international concern on January 30. The situation is evolving daily around the world, including in the United...more

Ballard Spahr LLP

Investment Management Update

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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

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