Month: January 2020

The number of securities class action filings set a new record last year, according to a recent report by Cornerstone Research titled Securities Class Action Filings, 2019 Year in Review (here). According to the Report, the number of those actions …

Record Number of Securities Class Action Filings Again Read More »

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The SEC’s Office of Compliance Inspections and Examinations published a series of observations gleaned from hundreds of exams over a period of years. While OCIE’s charge is the inspection of registered investment entities, the observations of the exam staff offer …

Cybersecurity: Key Observations From OCIE Read More »

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