SEC Risk Alert – Cyber Security
April 18, 2014
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As if April 15th wasn’t bad enough? In addition to it being Tax Day, the U. S. Securities Exchange Commission’s (“SEC”) Office of Compliance Inspections
As if April 15th wasn’t bad enough? In addition to it being Tax Day, the U. S. Securities Exchange Commission’s (“SEC”) Office of Compliance Inspections
When: April 29th 2014 Where: Blank Rome LLP, The Chrysler Building, 405 Lexington Avenue, 22nd Floor Board Room Thomas Westle, Partner, Blank Rome LLP, Janaya
When: April 6-9th, 2014 Where: Ritz Carlton, Grand Cayman What: AIFMD: marketing to European investors of non-EU funds by non-EU managers. Linda Smith, Managing Director,
When: April 10, 2014 (8am-5pm) Where: Haynes and Boone, LLP 2323 Victory Avenue, Ste. 700 Dallas, TX 75219 What: Catch up on the latest regulatory
When: April 26-29th, 2015 Where: Ritz Carlton, Seven Mile Beach | Grand Cayman, Cayman Islands What: GAIM Ops Cayman Linda Smith, Managing Director, SEC Compliance
The Securities and Exchange Commission announced on Thursday, February 20th that its Office of Compliance Inspections and Examinations (OCIE) is launching an initiative directed at
When: February 4th, 2014 Where: The Offices of Ropes & Gray 1211 Avenue of the Americas New York, NY 10036 Join the SEC and SEC
The Securities and Exchange Commission’s National Examination Program (“NEP”) has released 2014 examination priorities which can be found here. Much of what has been announced
The Volcker rule was adopted on Tuesday, December 10, 2013 by five regulatory agencies including the Securities and Exchange Commission (the “SEC”). The original proposal was
Stephen L. Cohen, the Securities and Exchange Commission’s (“SEC”) Associate Director of Enforcement, spoke recently at the Society of Corporate Compliance and Ethics’ Annual Conference.
