News & Insights: Flash Reports

More than just the facts, Flash Reports provide context for what’s currently happening in the industry and translate that into what it means for your business.

SEC Adopts Rule Amendments to Regulation S-P to Enhance Protection of Customer Information

The SEC adopted amendments to Regulation S-P requiring broker-dealers, investment companies, registered investment advisors, and transfer agents to implement and maintain policies and procedures regarding an incident response program that are designed to detect, respond, and recover from unwarranted access or use of client information.

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SEC Exam Trends

SEC Exam Trends The SEC’s Division of Examinations has conducted a series of exams, coined […]

Cybersecurity Risk Management

The proposed cybersecurity risk management rules codify the requirement for advisers to maintain comprehensive cybersecurity policies and procedures.

SEC Proposes Reforms for Private Funds

The SEC proposed reforms for Private Funds to enhance the regulation of private fund advisers and protect investors in private funds by increasing transparency.

SEC Continues Focus on Private Fund Advisers

As private fund advisers continue to play a larger role in the financial markets, the Division of Examinations published a risk alert of their observations

SEC Commissioner Signals Regulatory Changes are underway for Cybersecurity

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.

Phishing Via Gmail Accounts

A survey conducted by Barracuda surveyed 10,500 organizations and found that 35% of them had at least one bait attack email in September 2021 alone.

Advisory on Russian Threats to Infrastructure

CISA, the FBI, and the NSA have released a joint cybersecurity advisory that gives oversight on Russian cyber operations including their observations on tactics, techniques, and procedures.

Compliance Date Approaching for Fund of Funds Arrangements Under The Investment Company Act of 1940, as Amended

Last year the U.S. Securities and Exchange Commission adopted a new rule and related amendments regarding fund of funds arrangements in rule 12d1-4.

Importance of Patching Log4j Flaw

The Federal Trade Commission (FTC) has warned U.S. organizations failing to secure customer data against Log4Shell zero-day vulnerability could face legal repercussions.

Phasing Out LIBOR

WHAT HAPPENED? First, what is LIBOR? The London Interbank Offered Rate (“LIBOR”) is the average […]

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