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On September 20, 2022, the SEC announced settled charges and the imposition of a $35 million penalty against a dually registered investment adviser and broker-dealer (the "Firm") for violations of Regulation S-P ("Reg S-P").
On September 20, 2022, the SEC announced settled charges and the imposition of a $35 million penalty against a dually registered investment adviser and broker-dealer...
In July, we wrote about New York City's Automated Employment Decision Tool Law (the "AEDT Law" or the "Law"), which requires employers to conduct an independent...
On July 29, 2022, the New York Department of Financial Services ("NYDFS") released Draft Amendments to its Part 500 Cybersecurity Rules, which include a mandatory 24-hour...
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