D. Brett Kohlhofer

Dechert LLP

Articles

Results 1 to 5 of 14


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'…

Timothy C. Blank, Hilary Bonaccorsi

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…

Timothy C. Blank, Hilary Bonaccorsi, Kevin F. Cahill

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…

Renzo Marchini