Popular, Investment Management, Corporate Counsel

Top 5 SEC Enforcement Developments for May 2025

Morrison & Foerster LLP on 6/25/2025

On May 14, 2025, Deputy Enforcement Director Antonia Apps told those gathered at an anti‑money laundering conference in Washington, D.C. to expect a more measured approach from SEC Enforcement. That may include, she...more

Top 5 SEC Enforcement Developments for February 2022

Morrison & Foerster LLP on 3/7/2022

In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important SEC enforcement developments from the past month, with links to primary resources. This has...more

DOL Begins Its Cybersecurity Audit Initiative – And It’s a Doozy

Morgan Lewis - ML Benefits on 6/11/2021

We repeatedly warned over the past few months, that officials at the highest levels of the DOL were signaling that the DOL would begin an audit initiative focusing on retirement plan cybersecurity practices. ...more

EBSA Speaks: New Guidance for Mitigating Retirement Plan Cybersecurity Risk

Epstein Becker & Green on 4/19/2021

On April 14, 2021, the U.S. Department of Labor’s (“DOL’s”) Employee Benefits Security Administration (“EBSA”) issued its first cybersecurity best practices guidance for retirement plans. The guidance is set forth in three...more

ERISA Plan Sponsors – Watch Your Participants’ Data! DOL Issues New Cybersecurity Guidance for Retirement Plans

Akerman LLP - HR Defense on 4/16/2021

In response to a recent General Accounting Office (GAO) report recommending federal guidance to mitigate cybersecurity risks in retirement plans and to respond to ever-increasing cyber threats to plan participant data and...more

The SEC Staff Takes On ESG Investing

Morgan Lewis on 4/16/2021

In the US Securities and Exchange Commission staff’s most recent guidance addressing environmental, social, and governance (ESG) investing, the staff of the Division of Examinations released an April 9 Risk Alert noting...more

The Big Change in Cybersecurity Regulation That No One Is Talking About

White and Williams LLP on 1/23/2020

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

[Event] 2019 Hospital & Health System Innovation Summit - October 24th, New York, NY

McDermott Will & Schulte on 9/26/2019

McDermott Will & Emery’s Hospital & Health System Innovation Summit will prepare innovation leadership teams to address the business, regulatory compliance and legal challenges they may face when navigating innovation efforts...more

Oracle Granted Partial Summary Judgment in 401(k) Fees/Investment Option Case

McDermott Will & Schulte on 3/26/2019

The US District Court for the District of Colorado granted partial summary judgment to 401(k) fiduciaries, holding that ERISA’s six-year statute of repose barred some claims and rejecting challenges to the plan’s fees....more

Scottrade data breach class action case dismissed for lack of standing

Robinson+Cole Data Privacy + Security Insider on 7/25/2016

We previously reported that Scottrade was hit with a class action case within 24 hours of notifying customers of a data breach. According to the Complaint, the data compromised included the names, addresses, telephone...more

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