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SEC Urges "Robust" Cybersecurity Best Practices

USA - August 22 2017 As cyber-attacks continue to threaten the financial industry, the SEC has made cybersecurity an urgent priority. On August 7, the SEC's Office of...


SEC Awards $2.5 Million to Government Employee Whistleblower

USA - July 28 2017 The Securities and Exchange Commission (SEC) recently announced an award of approximately $2.5 million to an employee of a U.S. government agency for...


The Global Reach of the U.S. Foreign Corrupt Practices Act

USA - May 25 2017 The U.S. Foreign Corrupt Practices Act (FCPA) remains one of the most important legal and compliance risks for companies engaged in international...


Colorado Investment Advisers and Broker-Dealers May Soon Face New Cybersecurity Requirements

USA - April 13 2017 Recently proposed additions to the Colorado Securities Act would require Colorado investment advisers (IAs) and broker-dealers (BDs) to establish and...


Deal Disclosures Trigger SEC Enforcement Attention

USA - February 20 2017 The SEC recently announced two separate enforcement actions involving corporate disclosures made during unrelated battles for corporate control. This...