Join Ulmer partner Frances Floriano Goins as she shares an overview of the Securities and Exchange Commission's 2023 ammendments and rules regarding:
- enhanced customer protection practices
- disclosure of...more
11/28/2023
/ Banking Sector ,
Conflicts of Interest ,
Continuing Legal Education ,
Customer Protection Rule ,
Cybersecurity ,
Disclosure Requirements ,
Enforcement ,
Financial Services Industry ,
Predictive Analytics ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Webinars
By: Frances Floriano Goins and Michael Davis Hoenig About: Cybersecurity & Privacy May 1, 2023 – Last week, the Governor of Washington signed a package of legislation aimed at protecting the health care of women in response...more
5/1/2023
/ Cybersecurity ,
Data Protection ,
Health Information Technologies ,
Health Insurance Portability and Accountability Act (HIPAA) ,
Healthcare ,
Legislative Agendas ,
New Legislation ,
Personal Information ,
Roe v Wade ,
State and Local Government ,
Telehealth ,
Washington
Join Ulmer partner Frances Floriano Goins and Elizabeth Hill, Senior Vice President, Deputy General Counsel, at Huntington National Bank, as they share an overview of the 2022 exam priorities. They will also discuss...more
2/11/2022
/ Broker-Dealer ,
Continuing Legal Education ,
Department of Labor (DOL) ,
Enforcement Actions ,
Exemptions ,
Financial Services Industry ,
Investment Adviser ,
IRA Rollovers ,
Liability ,
Prohibited Transactions ,
Regulation Best Interest ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
Webinars
The Illinois Biometric Information Privacy Act (BIPA 740 ILCS 14/1 et seq.) requires employers to notify employees and other individuals before collecting their biometric identifiers such as fingerprints (...read our last...more
2/8/2022
/ Biometric Information ,
Biometric Information Privacy Act ,
Cybersecurity ,
Employees ,
Employer Liability Issues ,
Employment Litigation ,
Fingerprints ,
IL Supreme Court ,
Illinois ,
Notification Requirements ,
Privacy Laws ,
State and Local Government ,
Workers Compensation Act
The Illinois Biometric Information Privacy Act (BIPA 740 ILCS 14/1 et seq.) requires businesses to notify individuals before collecting their biometric identifiers such as fingerprints (click here to read our previous client...more
12/22/2021
/ Biometric Information ,
Biometric Information Privacy Act ,
Consent ,
Cybersecurity ,
Data Collection ,
Employees ,
Employer Liability Issues ,
Fingerprints ,
IL Supreme Court ,
Notice Requirements ,
Popular ,
Statute of Limitations ,
Waivers
Earlier this month, the governor of Colorado signed into law the Colorado Privacy Act (CPA), making Colorado the third state to enact a comprehensive data security law after California in 2018 and Virginia in March 2021. The...more
8/2/2021
/ Colorado ,
Consumer Privacy Rights ,
Contact Tracing ,
Coronavirus/COVID-19 ,
Cybersecurity ,
Data Privacy ,
Data Protection ,
Data Security ,
Employees ,
Employer Liability Issues ,
General Data Protection Regulation (GDPR) ,
New Legislation ,
Personal Data ,
State and Local Government ,
State Privacy Laws
A decade of litigation in the Goldman Sachs securities fraud class action has ultimately revealed an unremarkable truth, confirmed by a unanimous U.S. Supreme Court – in a case brought under Rule 10b-5 premised on an...more
6/30/2021
/ Arkansas Teacher Retirement System v Goldman Sachs Group ,
Basic v Levinson ,
Burden of Persuasion ,
Burden of Proof ,
Certiorari ,
Class Action ,
Class Certification ,
Conflicts of Interest ,
Goldman Sachs ,
Investors ,
Presumption of Reliance ,
SCOTUS ,
Securities Exchange Act ,
Securities Litigation ,
Shareholders
Last week, a federal court in Illinois ruled that the Illinois Biometric Information Privacy Act (BIPA) (740 ILCS § 14/1 et seq.) can apply to companies that do not exclusively control consumers’ biometric data, denying an...more
6/23/2021
/ Apple ,
Biometric Information ,
Biometric Information Privacy Act ,
Corporate Counsel ,
Cybersecurity ,
Data Collection ,
Data Privacy ,
Data Security ,
Data Storage ,
Facial Recognition Technology ,
Mobile Devices ,
Personally Identifiable Information
Join Ulmer attorneys Frances Floriano Goins and Manju Gupta for a complimentary, live webinar to discuss the key provisions of President Biden’s recent Executive Order to Improve the Nation's Cybersecurity. Fran and Manju...more
In what might prove to be a growing trend, on March 2, 2021, the Governor of Virginia signed into law the comprehensive Consumer Data Protection Act (CDPA), making Virginia the most recent state to enact such a law after...more
3/9/2021
/ California Consumer Privacy Act (CCPA) ,
California Privacy Rights Act (CPRA) ,
Consumer Privacy Rights ,
Data Collection ,
Data Privacy ,
Data Protection ,
Data Security ,
General Data Protection Regulation (GDPR) ,
Personal Data ,
State Attorneys General ,
State Data Privacy Laws ,
Virginia
Despite a general decline in filings of securities class action litigation in 2020, the economic fallout from the coronavirus pandemic has led to an uptick of securities fraud cases alleging failure to disclose risks of the...more
Join Frances Floriano Goins and Laura J. Shaw, Associate General Counsel from KeyBank, NA, as they review the myriad regulatory schemes that govern data protection for financial services providers, keying in on both newly...more
1/25/2021
/ Banking Sector ,
Broker-Dealer ,
Chief Compliance Officers ,
Continuing Legal Education ,
Corporate Counsel ,
Cybersecurity ,
Data Protection ,
Financial Institutions ,
Financial Services Industry ,
Fund Managers ,
Investment Banks ,
Investment Companies ,
Retail Banks ,
Risk Management ,
Webinars
The U.S. Supreme Court recently granted certiorari to review a Second Circuit Court of Appeals decision that could alter the landscape of class action litigation under Rule 10b-5. The issue in Goldman Sachs Group, Inc. v....more
In a notable event on Election Day this November, California voters approved amendments to the California Consumer Privacy Act (CCPA) and enacted a new statute – the California Privacy Rights Act (CPRA). The new statute...more
11/13/2020
/ California Consumer Privacy Act (CCPA) ,
California Privacy Rights Act (CPRA) ,
Consumer Privacy Rights ,
Data Collection ,
Data Privacy ,
Data Protection ,
Data-Sharing ,
Information Systems Security Program (ISSP) ,
Personal Data ,
Personally Identifiable Information ,
Privacy Laws ,
Reporting Requirements ,
Sensitive Personal Information ,
State Administrative Agencies ,
WISP
Online fraud is a bigger business than ever in the current pandemic environment. Far from “self-isolating,” fraudsters are seeing online work as an opportunity to take advantage of firms and their customers, using stolen...more
The current pandemic and attendant disruption in securities markets are creating unprecedented challenges for directors of both public and private companies. In the coming months, directors can expect to see a rash of...more
Fran Goins and Mike Marrero will give an update on FINRA and SEC privacy regulations and guidance, recent enforcement actions involving financial institutions, and much more....more
11/27/2019
/ Banking Sector ,
Broker-Dealer ,
Continuing Legal Education ,
Data Privacy ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Services Industry ,
Investment Companies ,
New Guidance ,
New Regulations ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
Webinars
As The Wall Street Journal recently noted, this coming January will mean more than just after-Christmas sales for large retailers (like Gap). Starting January 1, 2020, California’s new data-privacy statute, the California...more
In a recent landmark decision, the Ohio Supreme Court declared that R.C. 1707.43 does not impose joint and several liability on a custodian of a self-directed individual retirement account (IRA) that purchased illegal...more
1/2/2019
/ Aiding and Abetting ,
Banks ,
Custodians ,
Dismissals ,
Financial Institutions ,
Individual Retirement Account (IRA) ,
Joint and Several Liability ,
Motion to Dismiss ,
OH Supreme Court ,
Ponzi Scheme ,
Popular ,
Putative Class Actions ,
Reaffirmation ,
Retirement ,
Retirement Funds ,
Securities ,
Securities Fraud ,
State Securities Claims