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Searching Content indexed under Compliance by Marc Powers ordered by Published Date Descending.
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2016 Year-End Securities Litigation And Enforcement Highlights
Welcome to the 2016 Year-End Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team.
United States
10 Feb 2017
2
SEC Announces 2016 Examination Priorities
Earlier today, the Office of Compliance Inspections and Examinations (OCIE) of the United States Securities and Exchange Commission (SEC) announced its 2016 examination priorities.
United States
14 Jan 2016
3
Hedge Funds: A Look Toward 2016
BakerHostetler's Hedge Fund Industry Practice hosted a program called "Hedge Funds: A Look Toward 2016" at the New York Yacht Club that was attended by over 60 industry participants.
United States
13 Jan 2016
4
2015 Mid-Year Securities Litigation And Enforcement Highlights
Welcome to the 2015 Mid-Year Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team.
United States
7 Aug 2015
5
SEC Provides Guidance On Important Considerations For Effective And Reasonable Prevention Of Cyber Attacks
Last April the SEC issued the Cybersecurity Examination Initiative to assess the cybersecurity practices and preparedness of registered broker-dealers and investment advisers.
United States
13 Feb 2015
6
2014 Year-End Securities Litigation Enforcement Highlights
Welcome to the 2014 Year-End Report from the BakerHostetler Securities Litigation and Regulatory Enforcement practice team.
United States
12 Feb 2015
7
2014 Top 10 SEC Enforcement Highlights
Mary Jo White was confirmed in April 2013 as Chair of the Securities and Exchange Commission, becoming the first former United States Attorney to serve in that role.
United States
28 Jan 2015
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