Amanda Guarisco

Amanda Guarisco

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SEC Adopts Rules for Public Companies and Foreign Private Issuers on Cybersecurity Risk Management and Incident Disclosures

On July 26, 2023, the Securities and Exchange Commission (the “SEC”) adopted new rules (the “Rules”) that will require public companies and foreign private issuers to disclose material cybersecurity incidents within four...more

8/28/2023  /  Cyber Incident Reporting , Cybersecurity , Disclosure Requirements , Foreign Private Issuers , Publicly-Traded Companies , Reporting Requirements , Risk Management , Securities and Exchange Commission (SEC)

SEC’s First Liquidity Rule Enforcement Action Signals New Focus

On May 5, 2023, the Securities and Exchange Commission (the “SEC”) announced its first enforcement action against an investment adviser for violations of Rule 22e-4(b) (the “Liquidity Rule”) of the Investment Company Act of...more

7/25/2023  /  Enforcement Actions , Investment Adviser , Investment Company Act of 1940 , Liquidity , Mutual Funds , Risk Management , Securities and Exchange Commission (SEC)
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