Written by: David Stier, Eric Forni, Katrina Hausfeld, David Solander, Lauren O’Neil
On May 13, 2024, the Securities and Exchange Commission (SEC) and the US Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN)
Continue Reading Treasury’s FinCEN and SEC propose rule requiring investment advisers to develop customer identification programs
Written by: John Gilluly, Era Anagnosti, Brent L. Bernell, Eric Forni, Deborah Meshulam, Larry Nishnick, Andrew Serwin, Sanjay Shirodkar, Amanda Maki, Chelsea Rissmiller, Frances Asbury
On July 26, 2023, the Securities and Exchange
Continue Reading Guest Blog: SEC adopts final rules on cybersecurity risk management, strategy, governance and incident disclosure
Written by:Meghan Carey, Jessica McKinney, Rommy Hage
The Securities and Exchange Commission (SEC) adopted amendments to Form Private Fund (Form PF), the confidential reporting form for certain SEC-registered investment advisers to private
Continue Reading Guest Blog: SEC significantly expands Form PF reporting requirements for private equity fund advisers and large hedge fund advisers
In March, at an open meeting, the Securities and Exchange Commission (SEC) proposed, by a 3-1
Continue Reading SEC proposes mandatory climate-related disclosure and governance rules
By John J. Gilluly III, Brent L. Bernell, Louann Fang Richard, Deborah R. Meshulam, Andrew Serwin & Ron Plesco
Cybersecurity risk governance and disclosure has been the subject of a number
Continue Reading SEC proposes sweeping new public company cybersecurity disclosure and governance rules
By Stacy Shelhorse, Deborah R. Meshulam, John J. Gilluly III, Ron Plesco & Andrew Serwin
Cybersecurity risk governance has been a focus of the Securities and Exchange Commission (SEC) since at least
Continue Reading SEC Addresses Cybersecurity Risk in Proposed Rules for the Investment Management Industry
By: Melanie Walker | Deborah R. Meshulam | Jeffrey C. Selman | Sidney Burke
Over the past several months, the United States Securities and Exchange Commission (SEC) has increasingly focused on special purpose acquisition companies
Continue Reading Guest Blog: SEC focus on SPACs – Key takeaways from recent SEC statements and enforcement activity
On November 19, 2020, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (“OCIE”) issued a new risk alert (the “Alert”) providing an overview of “notable compliance issues” observed during examinations of registered
Continue Reading SEC issues risk alert on investment adviser compliance program issues
To remain competitive, companies find themselves increasing their efforts to digitally transform their businesses by developing new offerings based on emerging technologies and integrating these technologies into existing product and service offerings.
This is our
Continue Reading Blockchain and Digital Assets News and Trends
In March 2019, the SEC adopted a collection of amendments to its rules and forms intended to modernize and simplify disclosure requirements applicable to US public companies. For companies preparing their Form 10-K and proxy
Continue Reading 2020 Proxy Season Hot Topics: Part 1 – Ten tips for implementing SEC rule changes in your upcoming Form 10-K and proxy statement
