News & Analysis as of September 24, 2024

European Union › Risk Alert

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The European Union is an economic and political partnership comprised of 27 nations within the Eurozone. The EU was established in 1948 to promote stability and cooperation among member states in the aftermath of WWII. The EU maintains a common currency as well as several intranational institutions, including the European Parliament and the European Commission. less -

Dechert Cyber Bits - Issue 25

Dechert LLP on 12/16/2022

SEC Division of Examinations Issues Risk Alert on Regulation S-ID and Identity Theft Prevention Programs - On December 5, 2022, the Securities and Exchange Commission (“SEC”) Division of Examinations (“EXAMS”) issued a...more

Privacy & Cybersecurity Update - April 2019

Skadden, Arps, Slate, Meagher & Flom LLP on 5/1/2019

In this month's Privacy & Cybersecurity Update, we examine several recent U.K.-related cybersecurity developments and the SEC's risk alert reminding investment advisers and broker-dealers to follow through on implementing...more

Funds Talk: March 2017

Kramer Levin Naftalis & Frankel LLP on 3/2/2017

OCIE Highlights Frequent Topics for Compliance Deficiencies for Investment Advisers - On Feb. 7, 2017, the Securities and Exchange Commission’s (SEC’s) Office of Compliance Inspections and Examinations (“OCIE”) published...more

ESMA Raises Market Risk Indicator for European Securities to Highest Level

Katten Muchin Rosenman LLP on 9/23/2015

On September 14, the European Securities and Markets Authority (ESMA) published its Trends, Risks and Vulnerabilities Report No. 2 for 2015 (the TRV) on the European securities markets. The TRV covers the time period from...more

Structured Thoughts: News for the financial services community, Volume 6, Issue 5

Morrison & Foerster LLP on 9/1/2015

OCIE Issues Risk Alert Relating to Structured Note Sales - Earlier this year, the SEC’s Office of Compliance Inspections and Examinations (the “OCIE”) indicated branch offices and structured products as two of its...more

SCENIHR Identifies Use of Nanomaterials for Medical Imaging and Drug Delivery and Graphene Nanomaterials as Emerging Issues

Bergeson & Campbell, P.C. on 4/13/2015

On April 9, 2015, the European Commission (EC) Scientific Committee on Emerging and Newly Identified Health Risks (SCENIHR) posted a Position Statement on emerging and newly identified health risks to be drawn to the...more

Corporate and Financial Weekly Digest - Volume X, Issue 9

Katten Muchin Rosenman LLP on 3/9/2015

In this issue: - Meeting of the SEC Advisory Committee on Small and Emerging Companies - Financial Action Task Force Publishes Updated List of Deficient Jurisdictions - CFTC to Host Roundtable on...more

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