News & Analysis as of September 22, 2024

FinTech

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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 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 -

Focus on Fintech – Q4 2023

Wilson Sonsini Goodrich & Rosati on 2/9/2024

In this issue, we discuss updates and developments from federal regulators, including those related to the intersection of fintech and artificial intelligence, crypto-asset and central bank digital currencies, and consumer...more

Banks Announce Stablecoin and Custody Initiatives; IRS CI Report Addresses Crypto; DOJ Targets Unlicensed Exchange; New Data...

BakerHostetler on 12/11/2023

Major Banks and Technology Firms Launch Stablecoin and Custody Products - According to recent reports, a major European bank has launched its own stablecoin, “becoming the first big bank to offer digital tokens tracking...more

Top 5 SEC Developments (October 2023)

Morrison & Foerster LLP on 11/20/2023

Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. This month we examine: • Fraud and internal control failure charges against...more

Investment Management Update - November 2023

Skadden, Arps, Slate, Meagher & Flom LLP on 11/16/2023

...SEC Adopts Amendments to Fund Names Rule - On September 20, 2023, the U.S. Securities and Exchange Commission (SEC) adopted amendments to Rule 35d-1 under the Investment Company Act of 1940 (the Fund Names Rule) as well...more

FTC Imposes New Data Breach Notification Requirements

Seward & Kissel LLP on 11/13/2023

On October 27, 2023, the Federal Trade Commission (the “FTC”) adopted a final rule (“Final Rule”) to amend the Standards for Safeguarding Customer Information (the “Safeguards Rule”). Among other things, the Final Rule will...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

SEC Outlines 2024 Examination Priorities

Latham & Watkins LLP on 11/3/2023

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

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

Holland & Knight LLP on 10/26/2023

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

SEC EXAMS Division Announces 2024 Priorities Ahead of Schedule

Goodwin on 10/26/2023

On October 16, 2023, the SEC’s Division of Examinations (EXAMS) published its exam priorities for 2024. The timing is notable, with the release coming several months ahead of the typical timeline and only eight months after...more

Inside the Courts – An Update From Skadden Securities Litigators - March 2023

Skadden, Arps, Slate, Meagher & Flom LLP on 3/16/2023

Circuits Split Over Whether Targeting Is Necessary for Seller Liability - Key Points - - While courts have long held that solicitations must be tailored to a particular audience to precipitate statutory seller liability,...more

Inside the Courts – An Update From Skadden Securities Litigators - December 2022

Skadden, Arps, Slate, Meagher & Flom LLP on 12/5/2022

Cornerstone Research reports that during the first six months of 2022, plaintiffs filed 110 securities class actions, a pace that is generally in line — 2.8% higher — with what we saw in the second half of 2021. Looking...more

Proposed bipartisan legislation aims to clarify the crypto regulatory landscape

Eversheds Sutherland (US) LLP on 6/14/2022

Senators Kirsten Gillibrand (D-NY) and Cynthia Lummis (R- WY) introduced new proposed legislation on June 7, 2022, which would classify the vast majority of digital assets as commodities, and empower the Commodities Futures...more

Agencies Issue Joint Proposal to Strengthen and Modernize CRA Regulations

Goodwin on 5/16/2022

Regulatory Developments - Agencies Issue Joint Proposal to Strengthen and Modernize CRA Regs - On May 5, the FDIC, the FRB and the OCC issued a joint Notice of Proposed Rulemaking (NPR) to “strengthen and modernize” the...more

Decoded: Technology Law Insights, Volume 3, Issue 5

Spilman Thomas & Battle, PLLC on 3/18/2022

The Cryptocurrency Revolution and President Biden's Formal Recognition - Out of the ashes of the 2008 financial crisis, Bitcoin sprang up like an insurgency, targeting both the unbridled activity of large financial...more

SEC Proposes Changes to Private Fund Regulation

Goodwin on 2/11/2022

In This Issue. The U.S. Securities and Exchange Commission (SEC) proposed changes to private fund regulation; the Office of the Comptroller of the Currency (OCC) succeeded in validating its “valid-when-made” rulemaking; the...more

SEC Annual Examination Priorities for RIAs

Miller Canfield on 4/15/2021

Last month, the SEC Division of Examinations (the "Division"; formerly the "Office of Compliance Inspections and Examinations") released its annual Examination Priorities for 2021. RIAs and their Chief Compliance Officers are...more

SEC Division of Examinations Releases 2021 Examination Priorities

Dechert LLP on 3/30/2021

The Securities and Exchange Commission’s Division of Examinations (EXAMS) published its report on 2021 Examination Priorities on March 3, 2021. The 2021 Examination Priorities cover eight broad topics: - The protection...more

Chambers Global Practice Guide: Fintech 2021 Trends and Developments

Bradley Arant Boult Cummings LLP on 3/23/2021

Crisis has set the stage for fintech companies in 2021, creating both new opportunities and potentially unprecedented challenges to innovation. While the coronavirus pandemic continues to accelerate the digital transformation...more

New Emphasis in SEC 2021 Examination Priorities

Burr & Forman on 3/5/2021

The U.S. Securities and Exchange Commission (“SEC”) released its 2021 Examination Priorities on March 3. The Examinations group – elevated last December to Division status (formerly the Office of Compliance Investigations...more

Cyber Still Atop Exam Priorities

Burr & Forman on 2/27/2020

FINRA held its bi-annual Cybersecurity Conference in January and recently published five take-away real-world experiences from the conference...more

SEC Publishes Report on Cybersecurity and Resiliency

Morgan Lewis on 2/5/2020

The US Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE) published a report on January 27 outlining various industry practices and approaches to managing and combating...more

OCIE Releases 2020 Examination Priorities

Dechert LLP on 2/1/2020

The 2020 Examination Priorities of the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission were announced on January 7, 2020, and cover eight broad topics: - Protection...more

Among an Array of 2020 Examination Priorities, SEC Signals Continued Interest in Cryptocurrency

Proskauer - Blockchain and the Law on 1/16/2020

On January 7, 2020, the Securities and Exchange Commission (“SEC”)’s Office of Compliance Inspections and Examinations (OCIE) released its 2020 examination priorities. The majority of OCIE’s priorities for the coming year...more

SEC Examination Priorities for 2020 Include Both Emerging and Existing Concerns for Registered Investment Advisers and...

King & Spalding on 1/16/2020

On January 7, 2020, the Securities and Exchange Commission (“SEC”) issued its 2020 Examination Priorities, a yearly publication highlighting new and existing areas of focus for the Office of Compliance Inspections and...more

SEC Exam Priorities For RIAs and ICs

Dorsey & Whitney LLP on 1/15/2020

The Exam Priorities of the SEC’s Office of Inspections and Compliance or OCIE, announced on January 7, 2020 (the “Exam Priorities”), should be a key area of focus for every investment advisor and investment company. The Exam...more

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