News & Analysis as of September 20, 2024

Cybersecurity › Investment Firms

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Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk... more +

Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk management, global regulations, data protection, leaks, hacking, cyber insurance, compliance, HIPAA, and every other aspect of cybersecurity of import to corporate readers right now. less -

SEC Expands Security and Breach Notification Requirements for Investment Firms

Wilson Sonsini Goodrich & Rosati on 5/31/2024

On May 16, 2024, the U.S. Securities and Exchange Commission (SEC) announced that it had adopted final amendments to its Regulation S-P (the Rule or Amended Rule), which governs “covered financial institutions’” treatment of...more

What DORA Means for Fund Managers

Goodwin on 1/29/2024

Q: What is DORA? “DORA” stands for the Digital Operational Resilience Act, an EU regulation that creates a new framework for the EU financial sector with regard to information and communications technology (ICT)....more

Regulatory monitoring: EU version - December 2023

A&O Shearman on 1/10/2024

1. Bank regulation - 1.1 Prudential regulation - (a) General - (i) EU - EBA: Roadmap on strengthening the Prudential framework - Status: Final - The EBA has published its roadmap on the Banking Package, which...more

Regulatory monitoring: EU version - November 2023

A&O Shearman on 12/4/2023

1. Bank regulation - 1.1 Prudential regulation - The ESRB has published a speech by Christine Lagarde, President of the ECB and Chair of the ESRB, on its first general warning about financial stability risks that it published...more

What You Should Know About the EU Digital Operational Resilience Act

Alston & Bird on 11/27/2023

The European Union’s (EU) new Digital Operational Resilience Act (DORA) will go into effect in January 2025. Our Privacy, Cyber & Data Strategy Team digs into DORA and discusses how the new law may impact businesses inside...more

The SEC Publishes 2024 Examination Priorities Ahead of Schedule, Previewing Key Areas of Focus for Registered Entities

K&L Gates LLP on 11/3/2023

On 16 October 2023, the Division of Examinations (Division) of the US Securities and Exchange Commission (SEC) released its examination priorities for the 2024 fiscal year (the Report). The Division released this Report...more

Regulatory Monitoring: EU Version May 2023

A&O Shearman on 6/1/2023

The EBA has launched a consultation on two RTS and ITS on the functioning of supervisory colleges under the CRD. These new technical standards will ensure that the Level 2 framework for the functioning of supervisory colleges...more

Regulatory Monitoring - May 2023

A&O Shearman on 6/1/2023

ECB in focus is our blog dedicated to the banking supervisory activities of the European Central Bank (ECB). We report on key developments in European banking regulation led by the ECB as part of the Single Supervisory...more

SEC Exam Priorities for 2023

Oberheiden P.C. on 12/20/2022

Find Out What Companies and Investment Firms Need to Know about the SEC’s Exam Priorities for 2023 - Each year, the U.S. Securities and Exchange Commission (SEC) publishes its annual examination priorities. This report...more

Stress Test Scenarios Released for 2022

Goodwin on 2/18/2022

In This Issue. The Federal Reserve Board of Governors (Federal Reserve), the Office of the Comptroller of the Currency (OCC) and the Federal Deposit Insurance Corporation (FDIC) released stress test scenarios to assess...more

SEC Publishes Sample Climate Change Comment Letter

Goodwin on 9/24/2021

In This Issue. The U.S. Securities and Exchange Commission (SEC) published a sample comment letter on climate change disclosures; the Financial Industry Regulatory Authority (FINRA) is conducting a review of brokerage firm...more

SEC Makes Cybersecurity Top Priority; Sanctions Firms for Cybersecurity Failures

Goodwin on 9/16/2021

There is little doubt that the U.S. Securities and Exchange Commission is making cybersecurity a top priority. SEC Chair Gary Gensler told a Senate committee on Tuesday, September 14, 2021 that the agency is developing a...more

Fintech 2020: A Global Survey on the State of Financial Technology

Goodwin on 9/16/2020

Letter from Our Co-Chairs - As the digital transformation of financial markets accelerates at breakneck speeds, fintech presents significant opportunities and challenges for both investors and innovators around the world. ...more

3 Coronavirus Compliance Tips From the SEC

NAVEX on 8/21/2020

The coronavirus crisis is far from over, and compliance professionals still need every scrap of guidance that regulators can provide about how to run compliance programs in these difficult times. So when the Securities and...more

In Principle: 10 Things Authorised Firms Need to Know for 2020

Akin Gump Strauss Hauer & Feld LLP on 1/30/2020

Welcome to the 2020 edition of In Principle. With the United Kingdom (UK) leaving the European Union (EU) on31 January 2020, and moving into a transition period which will last until 31 December 2020, Brexit of courselooms...more

California Consumer Privacy Act Becomes Effective January 1

Akin Gump Strauss Hauer & Feld LLP on 12/31/2019

On January 1, 2020, the California Consumer Protection Act (CCPA) will become effective for all businesses that, among other things, have at least $25 million in annual revenue and collect or use any personal information of...more

Decoding Regulation S-P – What noncompliance looks like and what it will cost you

Eversheds Sutherland (US) LLP on 4/22/2019

As every investment adviser, broker-dealer, and fund (and their lawyer) knows, noncompliance with Regulation S-P, the SEC’s primary rule on privacy notices and safeguard policies, can land a registrant in hot and expensive...more

SEC brings first cybersecurity-related enforcement action

Robinson+Cole Data Privacy + Security Insider on 10/2/2015

The Securities and Exchange Commission (“SEC”) recently settled its first cybersecurity-related enforcement action against a Missouri based registered investment adviser, R.T. Jones Capital Equities Management, Inc. (the ...more

U.S. SEC Division of Investment Management Issues Cybersecurity Guidance

Dechert LLP on 5/19/2015

The Division of Investment Management (Division) of the U.S. Securities and Exchange Commission (SEC) issued a Guidance Update on April 28, 2015 (Guidance) relating to the cybersecurity of registered investment companies and...more

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