SEC Warns of Using Confidentiality Language to Stifle Whistleblowers
On April 1, 2015, the Securities and Exchange Commission announced its first ever enforcement action against a company for violating Dodd Frank’s whistle blower rules. In
SEC Reminds Advisers of the Need for Gifts and Entertainment Policies
In February 2015, the SEC’s Division of Investment Management issued guidance to the public with respect to the conflict of interest that arises when individuals
Miami Compliance Roundtable
When: March 30th 2015 Where: Kaufman Rossin Fund Services | 2699 Bayshore Drive, Miami FL 33133 Please join SEC3, Kaufman Rossin Fund Services, and Morgan,
SEC to Conduct Second Phase of Cybersecurity Sweep
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
Permanent Bars as an Effective Deterrent
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
Adviser Sanctioned for Inadequate Compliance Policies and Procedures
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
NSCP Canadian Conference
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
Dallas CCO Compliance Roundtable
When: March 05, 2015 Where: The Crescent Club | 200 Crescent Court, 17th Floor, Dallas, TX 75201 Please join the Dallas investment management practice of
SEC Highlights Importance of Risk Assessments
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
SEC Issues Risk Alert with Cybersecurity Sweep Examinations Summary
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
SEC Announces Examination Priorities for 2015 – And New Year’s Resolutions for CCOs
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.
Recent SEC Speech Highlights Continued Focus on Private Equity
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