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SEC 2023 Examination Priorities

USA - February 27 2023 On February 7, the Securities and Exchange Commission’s (SEC) Division of Examinations (Division) published its examination priorities for 2023.1…

James M. Brady, David Y. Dickstein, Christian B. Hennion, Paul McCurdy

Katten Financial Markets and Funds Quick Take February 2023

European Union, USA - February 21 2023 On February 7, the Securities and Exchange Commission (SEC) announced its inspection priorities for the current year. The announcement began by…

Karen Artz Ash, Ifedapo Benjamin, Adam Bolter, Dylan Caffrey, Christopher A. Cole, Charles A. DeVore, Chris DiAngelo, Danette R. Edwards, Prachi Shah Gokhale, Anna-Liza Harris, Johnjerica Hodge, Alexander C. Kim, Omar Malek, Cynthia Martens, Howard Schickler, Trisha Sircar, Edward A. Tran, Gavin Vollans, Janet R. Widmaier, Oliver Williams, Geoffrey G. Young

December 9 Looms as Compliance Date for Private Investment Funds and Certain Investment Advisers to Comply With New Cybersecurity Requirements

USA - December 6 2022 As we discussed in our March 3 Advisory, on October 27, 2021, the Federal Trade Commission (FTC) announced revisions (the 2021 Revisions) to its…

Vlad M. Bulkin, Wendy E. Cohen, David Y. Dickstein, Trisha Sircar, Allison C. Yacker, Lance A. Zinman

What's Up With WhatsApp? Regulators Recently Fine Firms $1.8 Billion in Aggregate for "Off-Channel" Communications

USA - October 21 2022 Recent alleged recordkeeping failures resulted in aggregate fines in excess of $1.8 billion levied against 11 Wall Street financial institutions and…

Gary DeWaal, Carl E. Kennedy, Susan Light, Paul McCurdy

Financial Markets and Funds Quick Take | Issue 4

USA - July 19 2022 The Securities and Exchange Commission (SEC) has adopted amendments requiring investment advisers, institutional investment managers and other…

Vlad M. Bulkin, Wendy E. Cohen, Julie L. Gottshall, Jennifer L. Howard, Robert Weiss, Allison C. Yacker