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May 1 Webcast: Cybersecurity and Financial Firms — Bracing for the Regulatory Onslaught
Please join John Stark and Bradley Bondi for this free webcast.
SEC to Launch Cybersecurity Exams of Investment Firms, Offers Sample Document Requests – Compliance Week
On April 15, 2013, the SEC’s Office of Compliance Inspections and Examinations quietly disclosed its examination module pertaining to cybersecurity. The disclosure came in the form of a Risk Alert which noted that OCIE will be conducting examinations of more than 50 registered broker-dealers and registered investment advisers. via SEC to Launch Cybersecurity Exams of […]
SEC’s David Gottesman Named Deputy Chief Litigation Counsel – Compliance Week
The SEC announced this week that David J. Gottesman has been named Deputy Chief Litigation Counsel in the Division of Enforcement. Gottesman joined the SEC in 2004 and was first promoted to a supervisory role in the trial unit in 2011. via SEC’s David Gottesman Named Deputy Chief Litigation Counsel – Compliance Week
Four gov’t agencies now investigating high-speed “Insider Trading 2.0” — Ars Technica
The revaluation of the subpoenas from Eric Schneiderman’s office, first reported by the Wall Street Journal, brings to at least four the number of agencies probing what the New York Attorney general has described as “Insider Trading 2.0.” Other entities investigating whether Wall Street firms are taking advantage of “differences in delays, or latencies, of […]
Securities Docket News Wire for April 17, 2014
Get caught up with the Securities Docket News Wire for April 17, 2014.
Just 20 Days Until the West Coast SEC Directors Roundtable — Register Now!
Please join us May 8, 2014 in San Francisco for the West Coast SEC Directors Roundtable!