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Results: 1-10 of 25

Investment advisers should “beef up” cybersecurity strategies - SEC issues updated guidance
  • Locke Lord LLP
  • USA
  • May 4 2015

Registered investment advisers should periodically assess their cybersecurity vulnerabilities, create strategies to respond, and make sure they are


SEC provides helpful guidance on accredited investor verification
  • Locke Lord LLP
  • USA
  • July 9 2014

On July 3, 2014, the staff of the SEC's Division of Corporation Finance issued guidance on reasonable steps to verify the accredited investor status


Conflict minerals: due diligence and disclosure steps public companies should be addressing now
  • Locke Lord LLP
  • Democratic Republic of Congo, USA
  • December 18 2013

Public companies that manufacture products for which "conflict minerals" or their derivatives1 are necessary to the functionality or production


SEC adopts rules on general solicitation that fundamentally change private capital raising and proposes further revisions
  • Locke Lord LLP
  • USA
  • July 11 2013

The SEC adopted rule changes on July 10, 2013 that will permit general solicitation and general advertising in connection with certain unregistered


SEC issues guidance on new public company reporting requirements under Iran Sanctions Act
  • Locke Lord LLP
  • USA
  • December 13 2012

New Iran-related disclosure requirements for public companies will soon take effect for annual and quarterly reports, and the SEC staff recently issued guidance on these disclosures


Form PF: risk reporting requirements for advisers to private funds
  • Locke Lord LLP
  • USA
  • December 4 2012

Pursuant to Title IV of the Dodd- Frank Wall Street Reform and Consumer Protection Act, the Securities Exchange Commission (“SEC”) and the Commodity Futures Trading Commission adopted joint rules under Section 204(b)-1 of the Investment Advisers Act of 1940 that require SECregistered private fund advisers with at least $150 million in regulatory assets under management to report certain information to the SEC, at least annually, on Form PF


Iran sanctions have been expanded to cover foreign subsidiaries; companies engaged in prohibited activities will soon be required to self report
  • Locke Lord LLP
  • Iran, USA
  • October 16 2012

U.S. sanctions on trade with Iranian interests are expanding to cover more activities, and public companies will soon have to disclose any such activities in their SEC reports


Companies whose products contain “conflict minerals” must investigate and disclose sources of supply
  • Locke Lord LLP
  • USA
  • October 3 2012

If "conflict minerals" or their derivatives are necessary to the functionality or production of a product that you manufacture or have manufactured, new Securities and Exchange Commission Rule 13p-1 will require you to investigate the source of those minerals


Companies should start planning now for proxy access
  • Locke Lord LLP
  • USA
  • September 21 2011

Following the court decision striking down the SEC’s Proxy Access Rule, the SEC is implementing amendments to Rule 14a-8 that permit shareholders to make proxy proposals concerning director elections including proposals for shareholder access to management’s proxy statement


SEC issues final rules on exemptions for managers of venture capital funds and other funds with less than $150 million in assets
  • Locke Lord LLP
  • USA
  • June 24 2011

Smaller fund managers and advisers to venture capital funds now have concrete rules to permit continued exemption from Securities and Exchange Commission registration as investment advisers