On Tuesday, March 21, 2023, Julie Riewe, Kristin Snyder and Charu Chandrasekhar from our White Collar & Regulatory Defense Group, Jeff Robins from our Banking Group, and Avi Gesser and…
On March 15, 2023, the U.S. Securities and Exchange Commission (the “SEC”) released a suite of proposed new rules (the “Proposed Rules”) that include: Proposed new cybersecurity rules for broker-dealers,…
In February 2022, the SEC proposed its first-ever cybersecurity rules for registered investment advisers (“RIAs”) (including RIAs to private funds) and Funds (which include registered investment companies (“RICs”) and closed-end…
Our ninth annual cross-disciplinary discussion on predictions and priorities for the upcoming year took place on Tuesday, January 24, 2023, from 8:30 to 10:30 AM Eastern. Our Debevoise practice leaders…
As we approach the end of the year, here are the Top 10 Privacy posts on the Debevoise Data Blog in 2022 by page views. If you are not already…
As we approach the end of the year, here are the Top 10 Cybersecurity posts on the Debevoise Data Blog in 2022 by page views. If you are not already…
On December 5, 2022, the Securities and Exchange Commission (the “SEC”) Division of Examinations (“EXAMS”) published a Risk Alert providing observations from recent examinations relating to investment adviser and broker-dealers’…
On September 20, 2022, the SEC announced settled charges and the imposition of a $35 million penalty against a dually registered investment adviser and broker-dealer (the “Firm”) for violations of Regulation…
On July 27, 2022, the Securities and Exchange Commission (“SEC”) separately charged three financial institutions with violations of Rule 201 of Regulation S-ID (“Reg S-ID”), also known as the Identity…
On April 26, 2022, the Division of Examinations (“EXAMS”) of the Securities and Exchange Commission (the “SEC”) issued a Risk Alert titled “Investment Adviser MNPI Compliance Issues” (“Risk Alert”) on…