Chair Gensler Continues to Be Outspoken About the Risks of AI Technologies -
Chair Gensler’s warnings of the potential risks associated with the use of AI technologies in the securities industry recently continued with...more
The SEC’s Cybersecurity Proposals -
The SEC has proposed four rules designed to address cybersecurity risk and management, including incident reporting by public companies....more
7/21/2023
/ Board of Directors ,
Broker-Dealer ,
Corporate Governance ,
Corporate Management ,
Cybersecurity ,
Disclosure Requirements ,
Enforcement Actions ,
Investment Adviser ,
Investment Companies ,
Oversight Duties ,
Policies and Procedures ,
Proposed Rules ,
Publicly-Traded Companies ,
Risk Assessment ,
Risk Management ,
Securities and Exchange Commission (SEC)
On Feb. 7, 2023, the Division announced its 2023 examination priorities. These priorities, updated and published annually, provide insights into the Division’s prioritization of certain practices, products and services in its...more
Welcome to the 2017 Mid-Year Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team.
The purpose of this report is to provide a periodic survey – in addition to our Practice Team...more
7/31/2017
/ Broker-Dealer ,
CFTC ,
Commodities ,
Dodd-Frank ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Hedge Funds ,
Insider Trading ,
Internal Reporting ,
Investment Adviser ,
Kokesh v SEC ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
SLUSA ,
Whistleblower Protection Policies ,
Whistleblowers
The Securities and Exchange Commission recently announced that ten investment advisory firms agreed to pay penalties in the tens of thousands of dollars to settle SEC charges that they violated the SEC’s pay-to-play rule,...more
Welcome to the 2016 Year-End Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team.
The purpose of this Report is to provide a periodic survey, apart from our team Executive...more
2/1/2017
/ Broker-Dealer ,
CFTC ,
Commodities ,
Conflicts of Interest ,
Dodd-Frank ,
Employee Retirement Income Security Act (ERISA) ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Markets ,
Foreign Corrupt Practices Act (FCPA) ,
Futures ,
Hedge Funds ,
Insider Trading ,
Investment Adviser ,
Popular ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
SLUSA ,
Whistleblower Awards ,
Whistleblower Protection Policies ,
Whistleblowers