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2016 Proxy Season Checklist – What You Need to Know

As we roll into a new year and a new public company reporting season, public companies should be aware of a number of rule changes and rulemakings, Securities and Exchange Commission (SEC) staff guidance, disclosure trends...more

Financial Services Legislation: 2015 in Review and What to Expect in 2016

To the surprise of many, Congress passed a number of financial services bills in 2015, including six that amended the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010....more

Year in Review: Legislation and Guidance for Financial Institutions in 2015

Financial institutions in Canada witnessed yet another year of significant growth in legislation and regulatory guidance impacting their operations, while the financial marketplace is continuing to adapt to the impact of...more

SEC’s 2016 Examination Priorities Include Continuing Focus on Cybersecurity Controls

The Securities and Exchange Commission last week issued a press release outlining the agency’s 2016 Examination Priorities that included cybersecurity. The release states: "To help fulfill the SEC’s mission of...more

SEC Expands Cybersecurity Compliance Requirements For 2016

On January 11, 2016, the Securities and Exchange Commission announced the 2016 examination priorities list. For the third year in a row, cybersecurity is a top concern, especially with regard to internal security program...more

SEC Staff Announces 2016 OCIE Examination Priorities

On January 11, 2016, the staff of the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) released its annual announcement on examination priorities in the coming calendar...more

Cybersecurity Tops SEC Office of Compliance Inspections 2016 Examination Priorities

The 2016 lists are starting to be released by regulatory agencies in the United States, giving a heads’ up to covered entities as to what compliance issues will take front and center this year. Once again, the Office of...more

In Case You Missed It: Launch Links - Week of January 3, 2016

Some interesting links we found across the web this week: The 30 Best Pieces of Advice for Entrepreneurs in 2015 - Happy New Year! We’re kicking off 2016 with a list within a list—dig into First Round Review’s best...more

OCC Proposes Recovery Plans for Large Banks

On December 17, 2015, the Office of the Comptroller of the Currency (OCC) proposed guidelines establishing enforceable standards for recovery planning by certain large national banks, federal savings associations and insured...more

Highway Bill Includes Changes to Registration, Privacy and Other Securities Laws

On December 4, 2015, President Obama signed the Fixing America’s Surface Transportation Act, or FAST Act, into law. While the statute’s primary impact is to authorize federal funds for highways and other transportation...more

Why are Companies and their Directors and Officers Still Behind on Cyber Security Oversight and Disclosure?

Over the past three years, I’ve been outspoken about the need for better board oversight of cyber security, as well as the need for better cyber security disclosure. The severity of the cyber threat is so significant to...more

Return of the Cyborg Part II: First-Ever SEC Cybersecurity Enforcement Action Filed Against Investment Advisory Firm

As our last newsletter highlighted, the government is ramping up enforcement investigations against both regulated entities and public companies for perceived cybersecurity failures. Proving the point, on September 22, 2015,...more

Upping the Ante: Cybersecurity, the SEC and the Perils of Being Unprepared

The U.S. Securities and Exchange Commission is finally getting serious about cybersecurity – and for good reason. If the ever-growing business and headline risks aren’t enough to scare investment advisers and broker-dealers...more

New Bank Examination Procedures for Cybersecurity

There is no more pressing problem facing business organizations today, of all types, than cybersecurity threats. For a highly regulated industry like banking, regulators are watching closely to see how the IT governance...more

Financial Services Weekly News - November 2015 #2

Regulatory Developments: CFTC and NFA Staff Publish FAQs and Other Resources for Filing and Reporting on Forms CPO-PQR and CTA-PR - On Nov. 5 the Division of Swap Dealer and Intermediary Oversight of the CFTC...more

Cybersecurity 2.0: What’s Expected of Federally Regulated Financial Institutions

As federally regulated financial institutions (FRFIs) expand their reliance on technology, employ progressively complicated and interconnected networks and systems, increase their electronic service offerings and collaborate...more

Cyber-Risks 2015 – A Board Primer

Cyber-risk is a witch’s brew of reputational, operational, legal and financial dangers. This toxic combination exposes a financial institution to a potentially existential hazard when an intrusion occurs. The only way to...more

Mintz TechConnect - October 2015

Letter from the Editors - We are thrilled to provide you with the first issue of Mintz Levin’s TechConnect, a bi-monthly newsletter on “all things technology” in the legal and business world, from our perspective, of...more

A Compilation of Enforcement and Non-Enforcement Actions

Non-Enforcement Cybersecurity Is At the Top of SEC Examination Concerns In a recent SEC “risk alert” for registered broker-dealers and investment advisers, the SEC’s Office of Compliance Inspections and Examinations (OCIE)...more

SEC Announces First Cybersecurity Enforcement Action Against an Investment Adviser for Failure to Protect Client Data

On September 22, 2015, the Securities and Exchange Commission (SEC) announced its first cybersecurity-related enforcement action against an investment adviser for failure to protect customer records and information. According...more

SEC Cybersecurity Examinations and Enforcement: What Broker-Dealers and Investment Advisers Need to Know

The Securities and Exchange Commission’s (SEC or Commission) Office of Compliance Inspections and Examinations (OCIE) announced in a September 15, 2015 Risk Alert (2015 Risk Alert) that it will be conducting a second round of...more

SEC: 2015 Examination Priorities – Cybersecurity Compliance and Controls

Registered broker-dealers and investment advisers received a stern warning to strengthen their cybersecurity programs or face further regulatory scrutiny. On September 15, 2015, the SEC announced a plan to sharpen its focus...more

FFIEC Releases Cybersecurity Assessment Tool

On June 30, 2015, the Federal Financial Institutions Examination Council (“FFIEC”), an interagency body that prescribes principles and standards for the federal examination of financial institutions, released a Cybersecurity...more

FFIEC Tool Helps You Assess Cyber Risk

The Federal Financial Institutions Examination Council (FFIEC) has released its long-awaited Cybersecurity Assessment Tool (Assessment) to help financial institutions identify the inherent risks faced by a company and...more

Strategies For Businesses Protecting Electronic Data Within California

Businesses in California have a number of tools with which to fight off unauthorized intrusions into their electronic data whether perpetrated by employees, former employees, disreputable competitors or random hackers....more

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