Corey leads our Compliance Administration practice area’s Compliance Technology Solutions team.
The SEC charged 16 firms for widespread and longstanding failures to maintain and preserve electronic communications.
Restrictions on the use of material non-public information are one of the cornerstones of the SEC’s regulatory framework.
SEC Chair Gensler spoke at Northwestern Pritzker School of Law’s Annual Securities Regulation Institute yesterday, where he focused on the Commission’s cybersecurity initiatives.
Amid the unique changes and challenges 2020 has brought, there has been plenty of regulatory news from the SEC and OCIE.
Recently, the SEC adopted a new rule and related amendments regarding fund of funds arrangements. Rule 12d1-4, aims to streamline a comprehensive regulatory approach to these arrangements.
The SEC updated a set of frequently asked questions (“FAQs”) to guide COVID-19 regulatory relief.
OCIE released two Risk Alerts to address upcoming compliance expectations for the new Form CRS and Regulation Best Interest requirements. OCIE acknowledges that the COVID-19 pandemic has created unusual issues for firms but will continue to conduct examinations as usual.
