With the new administration poised to take office, public and private companies will need to consider how President Biden’s regulatory, enforcement, and legislative priorities will affect their businesses. During this...more
2/17/2021
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White Collar Crimes
US regulators are calling attention to financial firms’ obligations to protect against evolving cybersecurity threats.
On October 2, 2019, the Financial Industry Regulatory Authority (FINRA) issued an information notice to...more
11/26/2019
/ Business E-Mail Compromise (BEC) ,
CFTC ,
Cyber Attacks ,
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New Guidance
Senior SEC enforcement staff “Speaks” to the division’s performance in 2015 and identifies priorities for 2016.
Senior members of the Enforcement Division of the US Securities and Exchange Commission (SEC) gathered on...more