After completing a sweep of 100 firms focusing on preparedness concerning cybersecurity in 2014 and subsequently releasing their summary findings in February 2015, the SEC
At the SEC Speaks 2015 Program on February 20, 2015, two SEC Commissioners gave their personal remarks on the Commission seeking permanent bars on wrongdoers
In January 2015, the SEC settled an action against a registered investment adviser who agreed to several findings of violations of the Investment Adviser Act
When: March 4th 2015 (8:00am-4:00pm) Where: St. Andrew’s Club & Conference Centre | 150 King Street West Toronto, Ontario M5H 1J9 What: NSCP Toronto Regional Conference Irshad
When: March 05, 2015 Where: The Crescent Club | 200 Crescent Court, 17th Floor, Dallas, TX 75201 Please join the Dallas investment management practice of
The SEC stated in their 2015 Examination Priorities that, as was the case in prior years’ priorities, the Commission will conduct “focused, risk-based examinations”. This
On February 3, 2015, the SEC released their long-awaited Risk Alert reviewing the results of OCIE’s cybersecurity sweep examinations in 2014 that followed their April
As the SEC has been doing at the start of each year in recent years, the SEC announced its examination priorities for the new year.
In her recent keynote address at the Columbia Law School Conference on Current Issues in Securities Regulation (November 21, 2014), Commissioner Kara Stein stressed the
When: December 17th 2014 Where: Drinker Biddle & Reath LLP | One Logan Square, Ste. 2000, Philadelphia, PA 19103 Mark Dowdell Assistant Regional Director in the
