Month: September 2015

Cybersecurity is one of the current hot topics of discussion. Regulators here and abroad have expressed concern regarding cybersecurity. Breaches are periodically reported in the media. Now the SEC has brought its first enforcement action centered on cybersecurity. In the …

SEC Files Its First Cybersecurity Enforcement Action Read More »

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The SEC announced another new initiative. It is known as the “Distribution-in-Guise Initiative.” This initiative focuses on preserving the assets of mutual funds for its shareholders, apparently by ensuring that fund managers and advisers do not improperly use the asserts. …

The New SEC Enforcement Initiative Read More »

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