Videocast: Asset management regulation in 2020 videocast series – Investment company developments
Investment Management Roundtable Discussion – Data Privacy and Security
How This Investment Firm Hopes to Revolutionize Litigation in America
The SEC’s amended Regulation S-P, adopted last year, will soon enhance data privacy protections for broker-dealers, investment companies, registered investment advisors, and transfer agents. The updated rule requires these...more
On January 24, 2024, nearly two years after the SEC initially proposed industry-chilling rules overhauling the treatment of special purpose acquisition companies (“SPACs”) in their IPOs and de-SPAC transactions, the SEC...more
In a three-to-one vote on May 25, 2022, the U.S. Securities and Exchange Commission (SEC) proposed two rules. The proposed rules for environmental, social and governance (ESG) disclosure would amend rules and forms to require...more
Join Heidi E. VonderHeide as she discusses how Regulation Best Interest is being implemented, examines post-effective date guidance and activity by the regulators, and shares what to expect during 2021 exams. Heidi will also...more
The close of 2019 witnessed a significant development in data security law that impacts companies regulated with respect to or engaged in the trading of public securities, as well as those companies that provide services to...more
Over the last two months, the SEC issued two reports that provide useful perspectives on its enforcement program. In February, it issued the combined 136-page “FY 2017 Congressional Justification & FY 2015 Annual Performance...more