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Cybersecurity › Market Participants

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 -
Latham & Watkins LLP

SEC Outlines 2024 Examination Priorities

Latham & Watkins LLP on

The priorities highlight emerging and core risk areas for investment advisers, broker-dealers, and other entities, including cybersecurity and crypto assets. On October 16, 2023, the Securities and Exchange Commission’s...more

Holland & Knight LLP

Thorough Exam: SEC's Division of Examinations Announces Fiscal Year 2024 Priorities

Holland & Knight LLP on

Amid ongoing federal government shutdown risks and the close of its fiscal year, the U.S. Securities and Exchange Commission's (SEC) Division of Examinations (Exams) recently announced its fiscal year (FY) 2024 priorities....more

Goodwin

SEC Proposes Rules to Include Certain Significant Market Participants as “Dealers” or “Government Securities Dealers”

Goodwin on

In This Issue. The U.S. Securities and Exchange Commission (SEC) proposed rules to include certain significant market participants as “dealers” or “government securities dealers” to essentially eliminate the trader exclusion...more

Jones Day

Litigation and Regulatory Considerations and Risks for Financial Market Participants in a Post-Pandemic Society

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More than a year ago the world fell victim to a global pandemic that would change life in ways that could never have been predicted. In the early stages of the pandemic, we published a White Paper directed at financial...more

Sheppard Mullin Richter & Hampton LLP

Buyers (And Sellers) Beware!: SEC Observations on Cybersecurity and Resiliency

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The Securities and Exchange Commission recently published a set of observations designed to assist financial market participants. While not legally binding, the observations are guideposts for investment companies, securities...more

Sheppard Mullin Richter & Hampton LLP

SEC and FINRA Signal Renewed Focus on Vendor Management in Two Key Areas: Cybersecurity and Market Access Rule Compliance

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The Securities and Exchange Commission (“SEC”) and Financial Industry Regulatory Authority (“FINRA”) recently issued guidance in connection with firms’ relationships with third-party service providers. These publications...more

Jones Day

NY DFS Doubles Down on FinTech, Consumer Protection, and Cryptocurrency Regulation - The New York State Department of Financial...

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Consistent with New York's status as a financial services and technology hub, the New York State Department of Financial Services (the "NY DFS") announced on July 23, 2019 a new Research and Innovation Division (the...more

Brownstein Hyatt Farber Schreck

Rocky Mountain Securities Conference: Cybersecurity Takes Center Stage

Brownstein Hyatt Farber Schreck on

Given the security industry’s increased use of information technology and the constant evolution of cyber threats, cybersecurity will continue to demand significant attention from regulators and industry participants in the...more

McGuireWoods LLP

New CFTC Cybersecurity Standards Are Coming Soon

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On September 29, 2015, Commodity Futures Trading Commission (CFTC) Chairman Timothy Massad delivered a “State of the Derivatives Marketplace” speech before the 3rd Annual OTC Derivative Summit North America. The speech...more

Snell & Wilmer

Brokers Beware: Will the SEC Extend New Cyber Guidance to Brokers and Investment Advisers?

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Against the backdrop of a steady stream of cyber-attacks and data breaches, Securities and Exchange Commissioner Luis A. Aguilar recently spoke about his hope to expand upcoming SEC cyber security guidance, known as...more

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