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EU Data Privacy Law Countdown – Who's Ready?

On May 25, 2018, the European Union’s data privacy regime is getting an upgrade (the General Data Protection Regulation, or GDPR) to improve individual protections. It will also, however, raise various new operations concerns. The organizations that plan ahead for...

OCIE Releases Cybersecurity Risk Alert

On August 7, 2017, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) released a Risk Alert summarizing its most recent cybersecurity examination findings. 1 As a part of its Phase 2 cybersecurity initiative, between September 2015...

SEC Releases 2017 Examination Priorities

On January 12, 2017, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published its 2017 examination priorities. 1 OCIE’s 2017 priorities, which largely mirror its 2016 priorities, cover three areas: (1) protecting retail investors, (2) focusing on risks specific...

SEC's New Rule Requires Additional Disclosures on Form ADV

On August 25, 2016, the SEC adopted Release No. IA-4509 (the “New Rule” or the “amendments”) that amends Form ADV to increase the amount of information that registered investment advisors (“Advisors”) must disclose to the Securities and Exchange Commission (“SEC”)....