D. Brett Kohlhofer
Dechert LLP
Articles
The 15(c) process continues to be a focus of the SEC enforcement staff
USA - August 13 2015 In both In the Matter of Commonwealth Capital Management, et al., SEC Rel. No. IC-31678 (June 17, 2015) (Commonwealth) and In the Matter of Kornitzer…
Catherine Botticelli, Christopher P. Harvey, Aaron D. Withrow
Tailored Cybersecurity Programs Remain a Policy and Enforcement Focus for Financial Regulators
USA - June 15 2016 Recent pronouncements from U.S. government officials, as well as regulatory actions, have made it clear that ensuring financial institutions'…
SEC cybersecurity examinations and enforcement: what broker-dealers and investment advisers need to know
USA - September 29 2015 The Securities and Exchange Commission's (SEC or Commission) Office of Compliance Inspections and Examinations (OCIE) announced in a September 15…
Compensation Clawback Crackdowns - an Emerging Enforcement Focus
USA - October 6 2022 After lurking many years in the shadows since the Sarbanes-Oxley Act of 2002 was enacted, prosecutors and regulatory officials have now trained their…
Hartley M.K. West, Andrew S. Boutros, David N. Kelley, Anthony S. Kelly
The EU-U.S. Safe Harbor decision: implications for the asset management industry
European Union, USA - November 11 2015 In our recent OnPoint, we reported that the Court of Justice of the European Union (CJEU) declared that the "Safe Harbor," upon which many companies…
