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OCIE Releases Risk Alert Regarding Advertisements of Investment Advisers

USA - October 3 2017 On September 14, 2017, OCIE published a Risk Alert identifying issues associated with Rule 206(4)(1) of the Investment Advisers Act of 1940 (the…

Cyberattacked: The SEC Joins the Club

USA - September 25 2017 On September 20, the Securities and Exchange Commission announced that its system for electronic filing for public company disclosures, EDGAR, was…

Philip J. Bezanson, Laura Prebeck Hang

OCIE Releases Cybersecurity Risk Alert

USA - August 30 2017 On August 7, 2017, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) released a Risk Alert…

Anti-Corruption Enforcement in Mexico: Your Integrity Policy Matters

Mexico - July 5 2017 On July 19, 2017, Mexico’s General Law of Administrative Accountability will go into effect. It is the final part of a historic package of…

Philip J. Bezanson

Data Breach Lawsuit Survives Motion to Dismiss

USA - April 27 2017 Consumer-initiated lawsuits arising from data breaches are surviving motions to dismiss with increasing frequency. In an April 13, 2017 decision in…

Laura Prebeck Hang, Ryan M. Philp