Cybersecurity Securities & Exchange Commission

Cybersecurity is a term used to describe methods and systems for protecting sensitive information in the electronic sphere. As more financial, business, and personal information becomes exclusively maintained and... more +
Cybersecurity is a term used to describe methods and systems for protecting sensitive information in the electronic sphere. As more financial, business, and personal information becomes exclusively maintained and stored electronically, the risks of attacks, leaks, and disclosures become more pronouced. The concept of Cybersecurity encompasses a broad array of issues, including governmental regulations to ward off cyber terrorists, industry data collection and maintenance practices, and consumer advocacy to ensure the privacy of individuals' personal and medical information.     less -
News & Analysis as of

The Financial Report - Volume 5, No. 8 - April 2016 (Global)

There are currently only three SEC Commissioners, rather than the normal five. A recent New York Times article discussed what appears to be a logjam in the approval of two apparently highly qualified nominees for the open...more

Cybersecurity Compliance Just Got Tougher

Companies need specific, well-executed plans to meet growing demands of federal and state agencies. While cybersecurity risks have increased, government regulation has traditionally lagged behind. Recently, some...more

Investment Management Update - April 2016

Below is a summary of recent investment management developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management...more

Financial Services Weekly News - April 2016

Regulatory Developments - DOL Issues Final Fiduciary Rule - On April 6, the Department of Labor (DOL) unveiled its pre-publication final version of the long-awaited fiduciary rule (the Final Rule). Some of the more...more

Recent Developments in Cybersecurity: The SEC is Preparing Cases against Firms for Lack of Cybersecurity Preparedness and Phishing...

SEC Enforcement - Andrew Ceresney, head of the SEC’s Division of Enforcement confirmed during a panel discussion at the Investment Company Institute’s Mutual Funds and Investment Management Conference in Orlando, Fla.,...more

Heard at the 2016 SIFMA Conference

Recently, attorneys from K&L Gates’ Government Enforcement practice group attended the Securities Industry and Financial Markets Association’s (“SIFMA”) Compliance and Legal Society Annual Seminar. We wanted to share with you...more

Does Anyone Remember Y2K – California Does!

In the closing years of the last millennium, many were concerned about the “Year 2000 Problem” (aka Y2K). According to this Securities and Exchange Commission interpretive release...more

Financial Services Report, Spring 2016

Why another law firm newsletter? Over ten years ago, Will Stern answered that question in the first Editor’s Note of the first Financial Services Report. Some things have changed since then—we no longer print and mail paper...more

A Closer Look at Cybersecurity Legislation and Regulations in the US and Abroad - Global Overview

With interconnectivity and use of digital storage expanding, cyberthreats posed by nation states, commercial competitors, company insiders, transnational organised crime and ‘hacktivists’ are growing on a global basis. Recent...more

Highlights from the SEC Speaks — 2016 Enforcement Priorities

Senior members of the Securities and Exchange Commission’s (“SEC” or “Commission”) Division of Enforcement (“Division”) addressed the defense bar on February 19, 2016, during the Practising Law Institute’s annual “SEC Speaks”...more

Common Trends in FINRA and SEC Regulatory Priorities

Each year, both the Financial Industry Regulatory Authority (FINRA) and the United States Securities and Exchange Commission (SEC) issue guidance concerning their regulatory priorities for the coming year. This year, FINRA...more

Fund Manager Annual Update

The SEC brought a record number of enforcement actions against investment advisers in 2015, resulting in approximately $4.2 billion in sanctions.1 This alert highlights current issues for private equity, venture capital and...more

Five Employment Law Compliance Topics of Interest to Financial Services Industry Employers

Employers in the financial services industry are faced with an escalating number of employment law compliance challenges, but the news is not all bad. For example, although pleading standards for Sarbanes-Oxley Act (“SOX”)...more

SEC Speaks Conference 2016: Key Takeaways for Public Companies

Senior SEC enforcement staff “Speaks” to the division’s performance in 2015 and identifies priorities for 2016. Senior members of the Enforcement Division of the US Securities and Exchange Commission (SEC) gathered on...more

SEC Speaks 2016: Enforcement Panels Double Down on Use of Data Analytics

Data collection and analysis continue to impact SEC’s approach to enforcement. The increasing use of data analytics to jump-start investigations and enforcement efforts dominated the panel discussion at this year’s...more

SEC Continues to Focus on Cyber-related Disclosures

Participating in a panel at the “SEC Speaks” event on February 19, Deputy Director of the SEC’s Enforcement Division Stephanie Avakian expressed that the Commission continues to focus on cybersecurity as a top priority in...more

SEC Enforcement Lays out Approach to Cybersecurity Cases

If you’ve ever attended the annual SEC Speaks conference, you know that the official program is an intensely uninteresting collection of short speeches by SEC officials who don’t have a lot of incentives to say groundbreaking...more

SEC Speaks – What to Expect in 2016

The leaders of the Securities and Exchange Commission (“SEC” or “Commission”) addressed the public on February 19-20 at the annual SEC Speaks conference in Washington, D.C. The presentations covered an array of topics, but...more

Your daily dose of financial news The Brief – 2.22.16

With China’s top securities regulator, Xiao Gang, officially on the outs, the Times takes a look at the difficult road ahead for replacement Liu Shiyu in one of the most thankless jobs in China—where “the pay is too low and...more

In Cybersecurity, No Harm Does Not Necessarily Mean No Foul

How much does the question of harm matter in cybersecurity law? The answer is: It depends on who is bringing the claim. Businesses confronting data breaches can face litigation from private consumers as well as from...more

Cybersecurity: 2015’s top legal developments and what they mean for key sectors

At the US federal level, 2015 ushered in significant new laws, regulations, and guidance on cybersecurity as lawmakers, regulators, and businesses continued their efforts to combat cybercrime - one of the most significant...more

Private Equity Fund Managers: Annual Compliance Reminders and New Developments

Summary of private equity firms’ compliance obligations, discussion of notable developments in 2015 and outlook for 2016. US federal laws and regulations, as well as the rules of self-regulatory organizations (SROs),...more

Financial Services Weekly News - February 2015

Regulatory Developments - FDIC Provides Framework for Cybersecurity in Recent Supervisory Insights - The FDIC featured an article titled “A Framework for Cybersecurity” in the Winter 2015 issue of Supervisory...more

Regulatory And Litigation Hot Topics For Private Funds In 2016

Private investment funds are likely to face increased regulatory scrutiny and litigation risk in 2016, not only based on the Securities and Exchange Commission’s focus on the industry but also due to transparency and...more

Preparation for 2015 Fiscal Year-End SEC Filings and 2016 Annual Shareholder Meetings

As our clients and friends know, each year Mintz Levin provides an analysis of the regulatory developments that impact public companies as they prepare for their fiscal year-end filings with the Securities and Exchange...more

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