News & Analysis as of July 30, 2025

Cybersecurity › Investment Adviser › Insider Trading

+ Follow

Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk... more +

Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk management, global regulations, data protection, leaks, hacking, cyber insurance, compliance, HIPAA, and every other aspect of cybersecurity of import to corporate readers right now. less -

SEC Speaks 2025: Key Takeaways from Division of Enforcement Panels

Ropes & Gray LLP on 5/27/2025

The SEC’s Division of Enforcement intends to remain a “cop on the beat,” and will refocus on traditional core enforcement areas, such as insider trading, accounting and disclosure fraud, market manipulation, and breaches of...more

Nutter Securities Enforcement Update: 2024 Fourth Quarterly Review

Nutter McClennen & Fish LLP on 2/4/2025

The Nutter Securities Enforcement Update is a periodic update of noteworthy recent securities enforcement activity, settlements, decisions, and charges. We provide brief summaries that highlight recent enforcement action...more

Navigating the Future: Key Takeaways & Insights from the 2024 Securities Enforcement Forum Central

Cozen O'Connor on 10/25/2024

One of the concerns following the Supreme Court’s ruling in SEC v. Jarkesy was that other agencies may face similar collateral attacks to its administrative proceedings. While the full impact of Jarkesy remains an open...more

Regulatory Roundup for May 2024

SEC Compliance Consultants, Inc. (SEC³) on 5/30/2024

SEC DROPS NEW REQUIREMENT FOR INCIDENT RESPONSE PROGRAMS, PROPOSAL FOR RIAS TO ADOPT CIP, SEC EXAMS SHARES MARKETING RULE FAILURES, RIA SLAMMED FOR FAILING TO RETAIN TEXTS, AND SEC WINS ON SHADOW TRADING THEORY - Welcome to...more

SEC Releases Risk Alert on EXAMS Process

Akin Gump Strauss Hauer & Feld LLP on 9/12/2023

Investment Advisers: Assessing Risks, Scoping Examinations, and Requesting Documents* I. Introduction - The SEC-registered investment adviser (“adviser”) population is large and diverse, ranging from global asset managers...more

SEC Enforcement: 2022 Year in Review

Pillsbury Winthrop Shaw Pittman LLP on 1/30/2023

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

Private Funds Litigation/Regulatory Year in Review and 2019 Outlook

Pillsbury Winthrop Shaw Pittman LLP on 3/6/2019

Although the SEC did not bring as many headline enforcement actions against private funds as in years past, it continues to devote substantial resources and attention on investment advisers. The SEC will maintain its...more

SEC Cybersecurity Disclosure and Controls Checklist

Stinson - Corporate & Securities Law Blog on 3/6/2018

In February 2018 the SEC outlined its views with respect to cybersecurity disclosure requirements under the federal securities laws as they apply to public reporting companies. Set forth below is a checklist of items included...more

Highlights From SEC Speaks 2018: Litigation and Enforcement Trends

Vedder Price on 3/1/2018

The U.S. Securities and Exchange Commission (“SEC” or the “Commission”) held its annual SEC Speaks conference in Washington, DC on February 23 and 24, 2018 and provided remarks from the Chairman and commissioners, discussions...more

SEC Guidance Focuses on Cybersecurity Procedures and Disclosure Issues

Herbert Smith Freehills Kramer on 3/1/2018

On Feb. 21, the Securities and Exchange Commission (SEC) released interpretive guidance on public companies’ disclosure practices regarding cybersecurity breaches and risks to the public....more

SEC Releases Updated Cybersecurity Guidance

Fenwick & West LLP on 2/28/2018

The U.S. Securities and Exchange Commission on Feb. 21, 2018, issued interpretive guidance on public company cybersecurity disclosures. The new guidance will affect public companies and companies seeking to go public in...more

SEC Releases Guidance on Cybersecurity Disclosures

Ballard Spahr LLP on 2/27/2018

In light of the increasing significance of cybersecurity incidents, and their potential impact on a company's operations, on February 21, the Securities and Exchange Commission (SEC) issued guidance to public reporting...more

SEC Cybersecurity Guidance: Key Takeaways for Your Business

Polsinelli on 2/26/2018

The U.S. Securities and Exchange Commission (“SEC”) recently released interpretive guidance regarding issues and risks related to cybersecurity for the first time since 2011....more

Investment Management Special Report - 2017-18 Compliance Developments & Calendar for Private Fund Advisers

Akin Gump Strauss Hauer & Feld LLP on 10/12/2017

Introduction - Despite an anticipated de-regulatory push, there are significant new regulatory concerns for investment advisers to address in connection with their annual review of their compliance manuals. ...more

SEC Speaks: 2017 Enforcement and Exam Trends for Private Funds

Proskauer - The Capital Commitment on 3/13/2017

At the recent SEC Speaks program, sponsored by PLI, senior SEC staff members provided valuable insight into the SEC’s 2017 priorities for private funds. While the tenor of this year’s discussion seemed to focus more on...more

The Year In Review: SEC Enforcement Actions Against Investment Advisers

K&L Gates LLP on 12/9/2016

The Securities and Exchange Commission’s enforcement program is highly focused on investment advisers for an obvious reason: they manage more than $67 trillion in assets for approximately 30 million clients. In addition,...more

Securities Enforcement: 2016 Mid-Year Review

A&O Shearman on 7/20/2016

The Securities and Exchange Commission (the SEC or the Commission) brought over 400 enforcement actions in the first half of 2016 and is on pace to surpass its record of 807 enforcements actions in a single fiscal year, which...more

Your daily dose of financial news - The Brief – 6.10.16

Robins Kaplan LLP on 6/10/2016

More thoughts on the Department of Labor’s new retirement adviser fiduciary duty standard, including questions about the “grassroots” movement the US Chamber of Commerce is claiming to support its opposition to the standard....more

Unprecedented Hacking and Trading Scheme Highlights Key Cybersecurity Lessons

King & Spalding on 9/22/2015

On Aug. 11, 2015, federal prosecutors in the District of New Jersey and the Eastern District of New York unsealed indictments against nine individuals in the U.S. and Ukraine who were allegedly involved in a five-year,...more

2015 Mid-Year Securities Litigation and Enforcement Highlights

BakerHostetler on 8/5/2015

Welcome to the 2015 Mid-Year Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team. The purpose is to provide a periodic survey, apart from our team Executive Alerts, on matters we...more

2014 SEC and FINRA Enforcement Actions Against Broker-Dealers and Investment Advisers

K&L Gates LLP on 12/3/2014

The sheer number of enforcement actions brought against broker-dealers and investment advisers makes it challenging to keep up. In this alert, we divide this year’s most important cases against broker-dealers and investment...more

21 Results

/

View per page

Page: of 1