Topics covered in this issue include:
SEC Proposes Rule Requiring Business Continuity and Transition Plans for Investment Advisers
The financial markets regulator is seeking to protect investors from market events and other factors that may affect an investment adviser’s ability to serve its clients.
SEC Approves Amendments to Rules of Practice, Making Welcome but Incremental Changes to Enforcement Procedures
After a steady stream of legal challenges, the SEC is changing its approach to administrative proceedings.
ISDA Releases Self-disclosure Letter in Connection With Global Uncleared Swap Margin Rules
The derivatives industry takes major step toward compliance with international regulatory regimes.
Employers Must Take Action to Reap the Full Benefits of the Defend Trade Secrets Act
U.S. businesses suffer billions of dollars in losses annually as a result of trade secret theft.
Investor Advocate Turns Attention to Mutual Funds’ Fee Disclosure
The SEC’s investor advocate has identified his office’s priority areas for the coming year.