News & Analysis as of September 21, 2024

Federal Financial Institutions Examination Council

+ Follow

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 -

Nutter Bank Report: October 2022

Nutter McClennen & Fish LLP on 10/31/2022

New CFPB Guidance Identifies Fee Practices That Constitute UDAAP Violations The CFPB has issued new guidance about what it pejoratively characterizes as “junk fee” practices by banks that the agency believes are likely to...more

Financial Services Weekly Roundup: Gone Phishing – The SEC’s OCIE Addresses Ransomware Attacks

Goodwin on 7/16/2020

In This Issue. The Securities and Exchange Commission (SEC) adopted amendments to its exemptive applications procedures under the Investment Company Act of 1940, as amended (the 1940 Act) and proposed to amend Form 13F to...more

Compliance in a Time of Crisis

Skadden, Arps, Slate, Meagher & Flom LLP on 5/2/2020

Addressing the Evolving Risks - Warren Buffett said that “only when the tide goes out do you discover who’s been swimming naked.” Buffett was not talking about compliance programs in a time of crisis, but his wisdom applies...more

How to Move to Remote Work and Comply with U.S. Privacy and Cybersecurity Laws

Orrick, Herrington & Sutcliffe LLP on 3/25/2020

Cybercriminals are known to attack networks and individuals at inopportune times of crisis—and the coronavirus pandemic unfortunately presents just such an opportunity as millions are accessing corporate networks and...more

Financial Services Weekly News: OCIE Issues Risk Alert On Investment Adviser Principal And Agency Cross Trading Compliance

Goodwin on 9/12/2019

In This Issue. The Securities and Exchange Commission (SEC) issued a risk alert on investment adviser principal and agency cross trading compliance issues, published disclosure interpretations relating to the Inline XBRL...more

Financial Services Weekly News - November 2018 #3

Goodwin on 11/29/2018

In This Issue. Federal banking regulators proposed the long-awaited “community bank leverage ratio,” which would exempt community banks with a leverage ratio of at least 9% from Basel III capital requirements; the Federal...more

Financial Services Weekly Roundup - October 2018 #3

Goodwin on 10/25/2018

Editor's Note - Regulators Continue Push for Financial Innovation. Speaking at the American Bankers Association Annual Convention in New York City, Federal Deposit Insurance Corporation (FDIC) Chairman Jelena McWilliams...more

Emerging Trends Newsletter - Q2

Stinson LLP on 7/20/2016

We are thrilled to bring you the 2nd installment of Stinson Leonard Street's Emerging Trends newsletter. Recent Delaware Supreme Court Opinion Limits General Personal Jurisdiction for Foreign Corporation - Recent...more

Moody’s Identifies Cyber Risk As Key Factor in Credit Ratings

Alston & Bird on 12/1/2015

In a report released November 23, Moody’s Investors Service announced that the implications of cyber threats could start taking a higher priority in its credit analysis. Moody’s said it views cyber threats as similar to other...more

Financial Services Weekly News - November 2015 #3

Goodwin on 11/19/2015

Regulatory Developments - MSRB Publishes Compliance Advisory for Municipal Advisors: On Nov. 12 the Municipal Securities Rulemaking Board (MSRB) published its first municipal advisor compliance advisory, developed...more

EXPECT FOCUS: Onboard Technology, NAIC Cybersecurity, DOL, ACA Litigation, SEC Regulation (Vol. III, Summer 2015)

Carlton Fields on 10/8/2015

In This Issue: IN THE SPOTLIGHT - - Your Data Breach Collided With My Personal Injury Coverage LIFE INSURANCE - - Phantom Injury Dooms “Shadow Insurance” Case - Latest NAIC Cybersecurity News ...more

Financial Services Report, Fall 2015

Morrison & Foerster LLP on 9/18/2015

BELTWAY - Straight Out of the Seventh Circuit The Seventh Circuit recently affirmed a lower court’s ruling that the SEC cannot be sued in district court to stop it from bringing an administrative action. Bebo v. SEC, No....more

SEC Continues to Focus on Cybersecurity Risks

Carlton Fields on 9/17/2015

On September 15, the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) issued a risk alert regarding the SEC’s ongoing cybersecurity examinations of registered broker-dealers...more

SEC Releases Results of Cybersecurity Exam Sweep

Brooks Pierce on 3/17/2015

We’re a bit behind on this, but better (a little bit) late than never. Last month the SEC’s Office of Compliance, Inspections and Examinations released the first results of its Cybersecurity Examination Initiative, announced...more

How Does Your Firm Compare? Results from the SEC’s Cybersecurity Examinations

McGuireWoods LLP on 2/13/2015

On Feb. 3, 2015, the Securities and Exchange Commission (SEC) published a Risk Alert summarizing observations gleaned from a cybersecurity examination sweep of 57 registered broker-dealers (BDs) and 49 registered investment...more

Privacy & Cybersecurity Update - November 2014

Skadden, Arps, Slate, Meagher & Flom LLP on 12/1/2014

In This Issue: - EU Issues Guidelines on ‘Right to be Forgotten’ - FFIEC Observations on Bank Cybersecurity Provides Important Guidelines for Every Industry - Remarks by Comptroller Curry Highlight OCC...more

Financial Services Weekly News Roundup - November 2014 #2

Goodwin on 11/13/2014

The SEC first proposed a study of the fiduciary obligations of brokers and investment advisers as required by the Dodd-Frank Act in July 2010. The SEC still has not made a decision about the shape of a fiduciary rule for...more

CFPB and federal banking regulators increase focus on cybersecurity

Ballard Spahr LLP on 7/15/2014

As part of their increased focus on cybersecurity, the CFPB and federal banking are taking steps to raise financial institutions’ awareness about the need for preparedness. On June 24, 2014, the Federal Financial Institutions...more

Privacy & Cybersecurity Update - June 2014

Skadden, Arps, Slate, Meagher & Flom LLP on 7/1/2014

In This Issue: - New Studies Highlight Privacy and Cybersecurity Risks and Costs - SEC Commissioner Addresses the Role of the Board on Cybersecurity Matters - Supreme Court Decision on Cellphone Searches...more

Corporate and Financial Weekly Digest - Volume IX, Issue 19

Katten Muchin Rosenman LLP on 5/12/2014

In this issue: - FINRA Proposes to Amend Rule 11892 - SEC Approves FINRA Rule Change to Limit Self-Trading - FATCA Transitional Relief and Extension of Time for the Implementation of New Account...more

20 Results

View per page

Page: of 1

Cybersecurity › Securities and Exchange Commission (SEC) › Federal Financial Institutions Examination Council

"My best business intelligence, in one easy email…"