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Join the Securities Litigation and Enforcement Group on LinkedInLaw firms under cyber-siege: now what? | Compliance Week
The past month has presumably been quite eye-opening for the many, many law firms that have been sleeping on their significant cybersecurity exposure. From an unusual and specific warning by the FBI, to reports of elite law firms being hacked, to the blockbuster “Panama Papers” matter, law firms are now firmly on notice that they […]
SEC’s Ceresney says more cybersecurity cases ‘coming down the pike’ | Compliance Week
The SEC has begun to bring cybersecurity-related enforcement actions under Regulation S-P of the Securities Act of 1933, and Enforcement Director Andrew Ceresney stated this week that more such cases are now “coming down the pike.” via SEC’s Ceresney says more cybersecurity cases ‘coming down the pike’ | Compliance Week.
Securities Docket News Wire for April 21, 2016
Get caught up with the Securities Docket News Wire for April 21, 2016.
SEC Examined 50 of 650 Municipal Advisors in Fiscal 2015 | The Bond Buyer
About of 50 of the 650 registered municipal advisors were examined by the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations in fiscal 2015, the office director told House subcommittee members on Thursday. via SEC Examined 50 of 650 Municipal Advisors in Fiscal 2015 | The Bond Buyer
Theranos, the SEC, and the Enforcement of the Securities Laws Against Private Companies – The D&O Diary
… The D&O insurance marketplace is built around a basic premise that private and public companies are fundamentally different. The D&O insurance for these two categories of companies are written in entirely different forms, in part based on the assumption that public companies have potential liability exposures under the securities laws, while private companies generally […]