Did you miss the first installment of our Securities Sit-Down webinar series, which focused on SEC Investigations and Litigation?
Well, it isn’t too late. You can review a recording of
Continue Reading Securities Sit-Down: SEC Investigations and Litigation
On December 17, 2020, SEC created the Division of Examinations by renaming the now defunct, Office of Compliance Inspections and Examinations, making it the SEC’s 6th Division joining Enforcement, Corporation
Continue Reading New SEC Division Undertakes 2021 Examination Priorities
The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) conducted a series of examinations into private fund advisers. See the SEC risk alert here. To say the least, OCIE
Continue Reading SEC Prepping for a New Round of Attacks on Fund Advisers
The SEC’s Office of Compliance and Inspections (“OCIE”), recently, issued an alert—more like a shot across the bow—to BDs and RIAs regarding its concerns over activities in the industry concerning
Continue Reading SEC Readying to Hammer BDs and RIAs Over COVID19 Compliance Risks
By Jesse Fishman and Laura Holm
In Quarterly Reports on Form 10-Q, companies are required to disclose any material changes to risk factors that were included in their most recent
Continue Reading Risk Factor Considerations in the time of COVID-19
Oksana Wright and Charles DeMonaco discuss the management and corporate compliance measures for the companies to prioritize during the time of cost-cutting and uncertainty:
https://www.corporatecomplianceinsights.com/corporate-compliance-during-covid-19/
Continue Reading Fox Rothschild’s Securities Industry Group Members Oksana Wright and Charles DeMonaco Publish Article on Corporate Compliance Measures During the Covid-19 Crisis
As proxy season approaches for a number of public companies, the Securities and Exchange Commission (SEC) and certain state authorities have taken steps to revise their current corporation laws or
Continue Reading SEC and States Provide Relief for Upcoming Proxy Season Due to COVID-19
Last month, we discussed business continuity plans and how important they were to firms. Further, my partner, Josh Horn, and I, recently, conducted a webinar for the NSCP on this
Continue Reading Securities Regulators Will Be Conducting Exams on BCPs
![-incompetence-14220[1]](https://securitiescompliancesentinel.foxrothschild.com/wp-content/uploads/sites/123/2020/04/incompetence-142201.jpg)
Unfortunately, in a very short sighted move by the United States Securities and Exchange Commission, its Chairman Jay Clayton announced that the SEC would not extend the compliance date for
Continue Reading Reg BI and Form CRS Are More Important to the SEC Than the Pandemic
Let’s be honest, the only people usually concerned about business continuity plans (“BCP”) are compliance folks and the lawyers. In fact, many probably have not looked at their BCP since
Continue Reading Coronavirus Reaches Pandemic Status: You Better Pull Out the Old Business Continuity Plan