Searching Content indexed under Securities by Catherine M. Anderson ordered by Published Date Descending.
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Form SHL: Report of Foreign Residents' Holdings of U.S. Securities Due August 30, 2019
Investment advisers, hedge and private fund managers and U.S.-resident entities should review whether they have any filing obligations under Treasury International Capital ("TIC")
United States
19 Aug 2019
SEC Brings First Enforcement Action For Identity Theft Red Flags Rule Violations
On September 26, in the Securities and Exchange Commission's ("SEC") first enforcement action for violations of Regulation S-ID (the "Identity Theft Red Flags Rule"), Voya Financial Advisors Inc.
United States
17 Oct 2018
SEC Fines Delinquent Form PF Filers $75,000
Last week, the Securities and Exchange Commission (SEC) announced settlements with 13 SEC registered investment advisers that had failed to file Form PF over multiple year periods.
United States
8 Jun 2018
TIC Form SHC 5-Year Benchmark Survey Of U.S. Ownership Of Foreign Securities Due March 3, 2017
Investment advisers are reminded to review their filing obligations under the TIC Form SHC as reporting on this 5-year benchmark survey is due on March 3, 2017.
United States
1 Mar 2017
The SEC Charges Investment Adviser With Violating Regulation S-P By Failing To Adopt Cybersecurity Policies And Procedures
In recent years, the SEC has been focused on cybersecurity. It has issued risk alerts, conducted examinations and provided guidance about what the agency sees as widespread weaknesses in many policies and procedures to protect against cyberthreats.
United States
1 Oct 2015
SEC Issues Risk Alert Announcing Second Round Of Examinations Of Registered Investment Advisers And Broker-Dealers
From our colleagues Catherine Anderson and Lauren Tran, we present this update on OCIE's 2015 Cybersecurity Examination Initiative: Second Round of Cybersecurity Examinations to Begin
United States
29 Sep 2015
OCIE's 2015 Cybersecurity Examination Initiative
On September 15, 2015, the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) issued a Risk Alert announcing a second round of examinations of registered investment advisers and broker-dealers under its cybersecurity examination initiative.
United States
28 Sep 2015
SEC Issues Cybersecurity Guidance Update For Investment Advisers
In summary, the Guidance Update notes the Division staff’s view that funds and investment advisers may wish to consider the following in order to address cybersecurity risk in their organizations
United States
30 Apr 2015
SEC Office Of Compliance Inspections And Examinations Releases Cybersecurity Examination Sweep Summary of Investment Advisers and Broker-Dealers
On February 3, 2015, the Office of Compliance Inspections and Examinations (OCIE) released the findings of its Cybersecurity Examination Sweep, which sought to evaluate the breadth of cybersecurity policies implemented by investment advisers (as well as by broker-dealers).
United States
11 Feb 2015
SEC Issues Risk Alert On Cybersecurity Initiative For Investment Advisers
The SEC issued a Risk Alert regarding the initiative to assess cybersecurity preparedness and threats in the securities industry.
United States
29 Apr 2014
SEC Hosts Cybersecurity Roundtable
Cybersecurity remains a hot topic for regulators, including the Securities and Exchange Commission.
United States
17 Apr 2014
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