To gain insight into where the Securities and Exchange Commission (“SEC”) and Commodity Futures Trading Commission (“CFTC”) have been focusing their oversight and what their priorities will be in 2020, look no further than...more
10/31/2019
/ Anti-Corruption ,
CFTC ,
Cybersecurity ,
Disclosure Requirements ,
Enforcement Actions ,
Government Investigations ,
Market Abuse ,
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Regulatory Agenda ,
Securities and Exchange Commission (SEC) ,
Securities Transactions ,
Strategic Enforcement Plan
On April 29, 2019, just months into her new job at the New York State Department of Financial Services (“DFS”), acting DFS Superintendent Linda Lacewell announced a significant reorganization within the financial and...more
In late December, New York State’s Department of Financial Services (“DFS”) released its revised proposed cybersecurity regulation (the “DFS Rule”). While the revisions pare back some of the DFS Rule’s original requirements...more
2/1/2017
/ Banks ,
Covered Entities ,
Cybersecurity ,
Department of Financial Services ,
Employee Training ,
Encryption ,
Federal Bank Regulatory Agencies ,
Final Rules ,
Financial Institutions ,
GLBA Privacy ,
Gramm-Leach-Blilely Act ,
Insurance Industry ,
NIST ,
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Risk Assessment ,
Third-Party Service Provider