Funds Talk: March 2019

Topics covered in this issue include: 

• CFTC Divisions Release 2019 Enforcement Priorities
  For the first time, the Commodity Futures Trading Commission (CFTC) has announced its examination priorities for registrants of three of its divisions. The measures are intended to promote transparency and to help registrants respond more efficiently to compliance examinations.
  
  
• Executive Compensation Trends and Issues: A Q&A With Marissa J. Holob
  How employees are compensated can play a significant role in restructurings, mergers and acquisitions. Marissa J. Holob, chair of Kramer Levin’s Executive Compensation and Employee Benefits practice, talks about what to look for before, during and immediately following a transaction.
  
  
• Five Takeaways From the Lead-Up to NY’s Cyber Rule Deadline
  

  Following two years’ worth of preparation, the implementation period for the New York Department of Financial Services first-in-the-nation cybersecurity rule will at last come to a close on March 1. Insurance and Reinsurance partner Daniel A. Rabinowitz talks with Fund Intelligence about some of the biggest lessons that firms have taken away from it.
  
  

• SEC Proposes to Expand 'Test the Waters' to All Issuers
  On Feb. 19, the SEC voted to propose a rule and related rule amendments under the Securities Act of 1933, as amended, that would permit investor views about potential offerings to be taken into account at an earlier stage in the process than is the case today.