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Update on SEC Fining Investment Adviser for Recordkeeping Failure

Update on SEC Fining Investment Adviser for Recordkeeping Failure
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Securities Act Claims Dismissed as Time-Barred and Otherwise Insufficient | Freiberger Haber LLP

On March 20, 2018, the United States Supreme Court decided Cyan, Inc. v. Beaver County Employees Retirement Fund, in which it unanimously held that the Securities Litigation Uniform. ....

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Message Received: SEC Zeros In On Off-Channel Communication | K&L Gates LLP

INTRODUCTION - On 7 February 2023, the U.S. Securities and Exchange Commission (SEC) Division of Examinations (the Division) released its 2023 examination priorities. As expected, the. ....

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SEC Division of Examinations Prioritizes Off Channel Communication

The SEC Division of Examinations released its 2023 examination priorities. Alongside continuing SEC sweep examinations into electronic communication and record keeping, firms should be on alert for compliance with communication policies and demonstrate robust recordkeeping. ....

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Supreme Court Set to Decide Whether Section 1782 Discovery Can Be Compelled in Foreign-Seated Arbitrations | Foley Hoag LLP

Supreme Court Set to Decide Whether Section 1782 Discovery Can Be Compelled in Foreign-Seated Arbitrations | Foley Hoag LLP
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