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Husch Blackwell LLP

Deadline Ahead: NYDFS Compliance Notifications are due by April 15

Husch Blackwell LLP on

Businesses that are subject to the NYDFS Cybersecurity Regulations have four weeks left to submit their annual notices of compliance or acknowledge their noncompliance. When the regulations were amended in 2023, several of...more

The Volkov Law Group

DOJ’s New Compliance Requirements Mandate Increased Compliance and HR Cooperation (Part I of II)

The Volkov Law Group on

The Justice Department is now taking on the role of marriage counselor.  Not with individual couples, but with a critical corporate relationship – ethics and compliance and human resources.  Normally, compliance and HR is a...more

Mayer Brown Free Writings + Perspectives

SEC Permits Fund Board Reliance on CCOs

Mayer Brown Free Writings + Perspectives on

On October 12, 2018, the Securities and Exchange Commission’s Division of Investment Management issued a no-action letter permitting a fund’s board of directors (“Board”) to rely upon quarterly compliance certifications...more

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