Under the SEC’s rules, public companies that are subject to reporting requirements must promptly disclose material cybersecurity incidents.
The SEC’s Final Rules require public companies to report a material cybersecurity...more
7/31/2023
/ Compliance ,
Cyber Incident Reporting ,
Cybersecurity ,
Disclosure Requirements ,
Final Rules ,
Investors ,
National Security ,
New Rules ,
Public Safety ,
Regulation S-K ,
Reporting Requirements ,
Risk Management ,
Securities and Exchange Commission (SEC)
On the heels of record-breaking enforcement in 2022, expect continued aggressive pursuit of Chair Gensler’s priorities in 2023.
The SEC will continue to bring its considerable resources to bear to address ESG-related...more
1/30/2023
/ Audits ,
Broker-Dealer ,
Compliance ,
Consumer Protection Act ,
Corporate Counsel ,
Cryptocurrency ,
Cybersecurity ,
Digital Assets ,
Dodd-Frank ,
Enforcement ,
Environmental Social & Governance (ESG) ,
Individual Accountability ,
Insider Trading ,
Investment Adviser ,
Private Funds ,
Proposed Rules ,
Securities ,
Securities and Exchange Commission (SEC) ,
Special Purpose Acquisition Companies (SPACs) ,
Whistleblowers ,
Willful Misconduct
TAKEAWAYS
- SEC scrutiny of private funds underscores the importance of remaining vigilant, including updating and improving compliance infrastructure and evaluating internal policies and procedures.
- Private funds...more
2/19/2020
/ California Consumer Privacy Act (CCPA) ,
Compliance ,
Cybersecurity ,
Enforcement Actions ,
Internal Controls ,
Investment Adviser ,
OCIE ,
Private Equity Firms ,
Private Funds ,
SEC Advertising Rule ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)
DOJ settlement signals need for enhanced False Claims Act scrutiny.
Private funds continue to face heightened secondary liability risks arising from their portfolio investments....more
10/3/2019
/ Compliance ,
D&O Insurance ,
Department of Justice (DOJ) ,
Due Diligence ,
Enforcement Actions ,
False Claims Act (FCA) ,
Federal Contractors ,
Independent Directors ,
Internal Controls ,
Kickbacks ,
Pensions ,
Pharmacies ,
Portfolio Companies ,
Private Equity Firms ,
Private Investment Funds ,
Risk Management ,
Settlement ,
Strategic Enforcement Plan ,
Vicarious Liability