Andrew Reich

Andrew Reich

BakerHostetler

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Broker-Dealers and Investment Advisers Now Targeted by Both Cyber Intruders and SEC Cybersecurity Examiners

Cybersecurity has increasingly become a critical issue for all types of businesses, few more so than broker-dealers, investment advisers and others in the financial sector. The cyber threat is much broader than customer data...more

5/7/2014 - Audits Broker-Dealer CFTC Cyber Attacks Cybersecurity Enforcement Actions FINRA Investment Adviser NIST OCIE Personally Identifiable Information Regulation S-ID Regulation S-P Risk Assessment SEC Security Audits

D.C. Circuit Court Upholds Dodd-Frank Inspired CFTC Regulations Subjecting Mutual Funds That Invest in Commodities to CFTC...

In 2012, the Commodity Futures Trading Commission (CFTC), in response to Dodd-Frank, adopted new regulations to require mutual funds and other registered investment companies that exceed certain position levels in commodity...more

7/1/2013 - Administrative Procedure Act CEA CFTC CPO Dodd-Frank Investment Companies Mutual Funds Registration SEC

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