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SEC Announces 2024 Exam Priorities - Financial Services

On October 16, 2023, the Division of Examinations of the U.S. Securities and Exchange Commission (the "Division" and the "SEC," respectively) announced its examination priorities. ....

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Investment Management Update August 2023

In this issue, we cover regulatory developments from the second quarter of 2023 impacting the investment management sector, including the following:… ....

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Investment Management Update - August 2023 | Skadden, Arps, Slate, Meagher & Flom LLP

Closed-End Fund Activism Update - Activist investors continue to take large positions in closed-end funds and engage in disruptive activity that may be harmful to. ....

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Division Of Exams Issues Risk Alerts On Safeguarding Customer Records At Branch Offices And LIBOR-Transition - Financial Services

The staff at the Securities and Exchange Commission's Division of Examinations (the "Division") conducts the SEC's National Exam Program. Recently, the Division issued two Risk Alerts. ....

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Daily Financial Regulation Update -- Friday, May 12, 2023 | Paul Hastings LLP

May 11, 2023- The Federal Deposit Insurance Corporation (FDIC) Board of Directors approved a notice of proposed rulemaking, which would implement a special assessment to recover. ....

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