News & Analysis as of September 26, 2024

Investment Companies

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ESG, DEI and Compliance

SEC Imposes New Cybersecurity Requirements on BrokerDealers, Investment Companies, Registered Investment Advisers, and Transfer...

Latham & Watkins LLP on 8/9/2024

Covered institutions will need to review their cybersecurity and incident response policies and procedures ahead of the applicable compliance deadline. The Securities and Exchange Commission (SEC) recently adopted...more

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on 11/2/2015

Non-Enforcement - SEC Decides Against Mounting an Appeal in Koch Ruling - The July 2015 ruling by the D.C. Circuit Court in Koch v. SEC will apparently not be challenged by the SEC. The Court ruled in that...more

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Risk Mitigation › Compliance › Investment Companies

SEC Imposes New Cybersecurity Requirements on BrokerDealers, Investment Companies, Registered Investment Advisers, and Transfer...

A Compilation of Enforcement and Non-Enforcement Actions

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