USA - November 9 2015
The Financial Industry Regulatory Authority (FINRA) recently adopted new rules (particularly, Rule 2242), and changes to its existing rules…
Tim Aron, Daniel M. Hawke, Robert E. Holton, David F. Freeman, Jr., Gilbert R. Serota
USA - October 20 2015
On October 7, 2015, the US Securities and Exchange Commission (the Commission or SEC) entered into a settlement agreement with Blackstone Management…
Veronica Rendón Callahan, Daniel M. Hawke, Robert E. Holton, Kevin J. Lavin, Pratin Vallabhaneni
USA - July 2 2015
On June 29, 2015, the US Securities and Exchange Commission ("SEC") charged Kohlberg Kravis Roberts & Co. ("KKR") with misallocating more than US$17…
Veronica Rendón Callahan, Robert E. Holton, Steven Kaplan, Kevin J. Lavin, Michael D. Trager
USA - May 14 2015
The SEC's Division of Investment Management (the Division) recently issued cybersecurity guidance1 for registered investment companies (funds) and…
David F. Freeman, Jr., Ronald D. Lee, Tom McSorley
USA - February 9 2015
Banks, broker-dealers, investment managers, insurance companies and other financial services firms face increasingly sophisticated threats to their…
Susan E. Hendrickson, David F. Freeman, Jr., Thomas A. Magnani, Michael A. Mancusi, Nancy L. Perkins, Michael I. Raschid