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UK Financial Regulatory Developments - January 2016 #11

HFSB reports on cyber-attack simulation - HFSB has published the results from its first table top cyber-attack simulation for hedge fund managers in London. The objective was to explore responses to three realistic...more

Investment Insights - Top 10 Takeaways (November 2015)

Cybersecurity is more than a compliance issue, it is a business issue for all businesses, including investment advisers. What do your policies and procedures say and are you actively following them? How are your service...more

Corporate and Financial Weekly Digest - Volume X, Issue 47

SEC/CORPORATE - FAST Act Legislation and Impact on Securities Law - On December 4, President Obama signed into law the Fixing America’s Surface Transportation Act (FAST Act). This transportation bill includes...more

White Collar Enforcement Omnibus Edition—Cyber Crimes, Sanctions and Spoofing, Oh My!

Why it matters: Since our last newsletter, a lot has been going on in white collar enforcement… so much so that we decided to devote an entire newsletter to it. It was a month of superlatives. The DOJ and the SEC announced...more

Privacy & Cybersecurity Update - September 2015

Adviser to European Court of Justice Says US-EU Safe Harbor Should Be Declared Invalid - An advisory opinion issued by the advocate general to the European Court of Justice states that the U.S.-EU Safe Harbor should be...more

Five on Friday: Five Recent Developments that We’ve Been Watching Closely

There continue to be regular developments in the business and human rights field that warrant attention from both companies and their stakeholders. New legislation and regulation, shifting policy positions, and developments...more

International Hacking and Insider Trading Scheme Exposes Cybersecurity Vulnerabilities at Third-Party Vendors

On August 11, 2015, the SEC announced that it was bringing fraud charges against 32 defendants for their alleged participation in a five-year, international hacking and insider trading scheme. According to the SEC, two...more

International Hacking and Insider Trading Scheme Exposes Cybersecurity Vulnerabilities at Third-Party Vendors

On August 11, 2015, the SEC announced that it was bringing fraud charges against 32 defendants for their alleged participation in a five-year, international hacking and insider trading scheme. According to the SEC, two...more

Microsoft Adopts International Cloud Privacy Standard

Public cloud computing services-- computing resources (such as networks, storage, applications, and services) purchased from another company (a “cloud services provider”)-- offer many potential benefits for businesses, among...more

Bridging the Week - March 2015 #2

FCA Sanctions Bank of Beirut, Former Compliance Officer and Former Internal Auditor for Providing Misleading Information Regarding AML Systems and Controls Remediation - The Bank of Beirut was fined GBP 2.1 million...more

FinCrimes Update - January 2015, Volumn 2, Issue 1

FINCEN FINES NY-BASED SECURITIES BROKER-DEALER FOR ANTI-MONEY LAUNDERING SHORTFALLS - On January 27, FinCEN fined a New York securities broker-dealer firm $20 million for violating the BSA. According to the press release,...more

Data Privacy and Cyber Security in Hong Kong: The New Enforcement Imperative

Introduction - Cyber security has gained increasing attention in recent years and cyber attacks have become more sophisticated and more frequent. Cyber attacks and other data breaches can affect millions of customers...more

Orrick's Financial Industry Week in Review

Bank of England Launches New Framework to Test for Cyber Vulnerabilities - On June 10, the Bank of England launched a new framework to help identify areas where the financial sector could be vulnerable to sophisticated...more

Privacy & Cybersecurity Update - April 2014

In This Issue: - Decision in Wyndham Case Provides FTC With Significant Victory - SEC Announces Cybersecurity Initiative - Heartbleed Bug Generates Significant Security Concerns - FTC and DOJ Announce Policy...more

Privacy & Cybersecurity Update - March 2014

In This Issue: - EU Parliament Cements Position on Privacy Protection Reform - EU Parliament Passes Cybersecurity Directive - SEC Holds Roundtable on Cybersecurity - EU and APEC Introduce Guide for...more

CFTC Issues Advisory on Compliance with Gramm-Leach-Bliley Act Security Safeguards

On February 26, the Division of Swap Dealer and Intermediary Oversight (DSIO) of the Commodity Futures Trading Commission issued Advisory 14-21 to provide futures commission merchants, commodity trading advisors, commodity...more

Privacy Monday – July 29, 2013

Privacy goofs, gaffes and tidbits for the last Monday in July — NSA Surveillance Causes More Grief –Germany Calls for a Stop to Safe Harbor: Time for Binding Corporate Rules? According to news sources the...more

"Cybersecurity Update: Key US and EU Regulatory Developments"

In recent months, federal and state governments have taken an increasingly active role in reviewing cybersecurity issues within the private sector. There has been a flurry of activity as different government bodies discuss...more

SEC and CFTC Issue Identity Theft Rules

Today, April 19, 2013, the Securities and Exchange Commission (“SEC”) and the Commodity Futures Trading Commission (“CFTC”) published in the Federal Register rules and guidelines requiring their respective regulated financial...more

California Amends Its Security Breach Law And German Privacy Agency Limits Social Media Marketing By Businesses

California Amends Its Security Breach Notification Law Beginning January 1, 2012, any business that is required, under California's security breach notification law, to provide notice to individuals must include in the...more

In re Balas & Morales (Bankr. C.D. Cal.)

Ruling Holding DOMA Unconstitutional

Series of court filings from In re Balas & Morales, the California case in which twenty bankruptcy judges jointly signed an opinion striking down the federal Defense of Marriage Act (DOMA) as unconstitutional to the extent it...more

In Brief - Winter 2008/2009

In This Issue LAW NOTES provide an excellent summary of a variety of interesting topics, including managing corporate reputation, business initiatives for innovators and entrepreneurs, and a look at biologics as a new...more

SCCE Annual Conference presentation

A Bad Day in the Boardroom: Identifying Global Risks and Managing a Crisis...more

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