‘Enforcement 40’ for 2020
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By Securities Docket on April 14, 2015, 1:17 pm
Please join John Reed Stark and David R. Fontaine for this free webcast.
By Securities Docket on April 14, 2015, 11:38 am
As with many agencies, cybersecurity concerns are a top priority at the Securities and Exchange Commission (SEC). From the publication of staff guidance in 2011 regarding the disclosure implications of cybersecurity-related threats and incidents, to recent examinations of more than 100 broker-dealers and registered investment advisers with respect to cybersecurity preparedness and the incorporation of […]
By Securities Docket on April 14, 2015, 9:25 am
For chief compliance officers, compliance professionals, and even corporate legal types, the need to read the tea leaves around Securities and Exchange Commission enforcement of the Foreign Corrupt Practices Act is at an end. All you need to do is listen to the public comments from SEC officials and you can see where enforcement is […]