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Investment management legal regulatory update - July 2015
  • Morrison & Foerster LLP
  • USA
  • July 28 2015

The 2016 compliance dates for new rules included in the SEC’s money market fund reforms are fast approaching. Among other things, the reforms Include


The SEC’s investment management division has some things to tell you about cybersecurity
  • Brooks Pierce McLendon Humphrey & Leonard LLP
  • USA
  • July 23 2015

Lots of agencies and organizations want to boss you around about cybersecurity. In April, the SEC and the Justice Department published more


Division of Investment Management issues cybersecurity guidance
  • Vedder Price PC
  • USA
  • July 15 2015

On April 28, 2015, the staff of the Division of Investment Management of the SEC published a Guidance Update addressing cybersecurity risks and the


Developments in cyber security and privacy law continue to affect technology companies
  • Hanson Bridgett LLP
  • USA
  • July 15 2015

Several new California laws have been enacted in the last year and SEC is also getting in the act regarding cyber security risks. A new personal


SEC Commissioner urges cooperation between regulators and companies in fight against cyber-crime; highlights SEC’s recent efforts
  • King & Spalding LLP
  • USA
  • July 7 2015

On June 25, 2015, Luis Aguilar, a Commissioner at the U.S. Securities and Exchange Commission ("SEC"), provided remarks at the SINET Innovation


SEC investigation into illegal use of swaps in trading of private technology shares
  • Herbert Smith Freehills LLP
  • USA
  • July 6 2015

The SEC is understood to have subpoenaed a number of firms in connection with an investigation into the sale of private pre-IPO technology stocks


White collar roundup - July 2015
  • Day Pitney LLP
  • USA
  • July 6 2015

In the wake of several rulings from the U.S. Court of Appeals for the Second Circuit that have narrowed the flexibility of the U.S. Securities


Investment services regulatory update
  • Vedder Price PC
  • USA
  • July 1 2015

On June 26, 2015, the staff of the Division of Investment Management of the SEC issued a Guidance Update addressing the staff’s views on the


Cyber risks -- Congressional letter to SEC
  • Akin Gump Strauss Hauer & Feld LLP
  • USA
  • June 29 2015

On June 18, 2015, Congressmen Jim Langevin (D-RI) and Jim Himes (D-CT) sent a letter to the Securities and Exchange Commission (SEC) calling for


SEC commissioner recommends applying Reg SCI to brokers to enhance cybersecurity
  • Katten Muchin Rosenman LLP
  • USA
  • June 28 2015

Securities and Exchange Commissioner Luis Aguilar said extending the reach of Regulation SCI to broker-dealers, over-the-counter market makers and