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Risk Mitigation Securities and Exchange Commission (SEC) Guidance Update

Snell & Wilmer

Cybersecurity Disclosures: A 2018 Priority For Public Companies

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Dear clients and friends, For this edition of the Corporate Communicator, we summarize key considerations of an interpretative release from the SEC about the SEC’s views on companies’ disclosure obligations relating to...more

Holland & Knight LLP

U.S. Securities and Exchange Commission Updates Cybersecurity Disclosure Guidance - Agency Continues to Prioritize Cybersecurity...

Holland & Knight LLP on

• The U.S. Securities and Exchange Commission (SEC) released, on Feb. 21, 2018, updated guidance regarding public company cybersecurity disclosures. The guidance updates the Commission's 2011 non-binding guidance and...more

Carlton Fields

SEC Issues Guidance on Business Continuity Planning for Registered Investment Companies

Carlton Fields on

The Securities and Exchange Committee (SEC) staff published Guidance Update 2016-04, concerning business continuity plans regarding companies within a “fund complex.” By “fund complex” the staff means an affiliated group of...more

Foley & Lardner LLP

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on

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

Proskauer on Privacy

Cybersecurity Guidance for Registered Investment Advisers

Proskauer on Privacy on

On April 28, the Securities and Exchange Commission (SEC) released a Guidance Update addressing the importance of cybersecurity and the steps registered investment advisers (and registered investment companies) may wish to...more

Locke Lord LLP

Locke Lord QuickStudy: Investment Advisers Should “Beef Up” Cybersecurity Strategies - SEC Issues Updated Guidance

Locke Lord LLP on

Registered investment advisers should periodically assess their cybersecurity vulnerabilities, create strategies to respond, and make sure they are making the strategies work. ...more

Snell & Wilmer

New Guidance from the SEC: Cyber Security Best Practices

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On April 28, 2015, the U.S. Securities and Exchange Commission’s Division of Investment Management (the “Division”) issued a Guidance Update to investment and fund advisers on the topic of improving cyber security. While it...more

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