Katten's Privacy, Data and Cybersecurity Quick Clicks is a monthly newsletter highlighting the latest news and legal developments involving privacy, data and cybersecurity issues across the globe....more
Katten's Privacy, Data and Cybersecurity Quick Clicks is a monthly newsletter highlighting the latest news and legal developments involving privacy, data and cybersecurity issues across the globe....more
The EU Digital Operational Resilience Act (DORA) took effect on 17 January 2025 after a two-year implementation period. DORA sets out new requirements for financial entities (FEs) and their information technology and...more
Katten's Privacy, Data and Cybersecurity Quick Clicks is a monthly newsletter highlighting the latest news and legal developments involving privacy, data and cybersecurity issues across the globe....more
The European Commission (Commission) recently published a letter (Letter) that it sent to the European Supervisory Authorities (ESAs) rejecting certain draft regulatory technical standards (RTS) under the EU Digital...more
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
The European Insurance and Occupational Pensions Authority recently published the European Commission’s response (Q&A 2999) on the question of which services fall under the definition of “ICT services” under Article 3(21) of...more
Katten's Privacy, Data and Cybersecurity Quick Clicks is a monthly newsletter highlighting the latest news and legal developments involving privacy, data and cybersecurity issues across the globe....more
1/23/2025
/ Consumer Financial Protection Bureau (CFPB) ,
Consumer Privacy Rights ,
Cybersecurity ,
Data Privacy ,
Data Protection ,
EU ,
Federal Trade Commission (FTC) ,
Financial Services Industry ,
Personal Data ,
Popular ,
Privacy Laws ,
Regulatory Requirements
After a two-year implementation period, the EU Digital Operational Resilience Act (DORA) takes effect on 17 January 2025.
DORA is part of the EU’s Digital Finance Package and aims to strengthen the financial sector’s...more
Katten's Privacy, Data and Cybersecurity Quick Clicks is a monthly newsletter highlighting the latest news and legal developments involving privacy, data and cybersecurity issues across the globe....more
10/1/2024
/ Artificial Intelligence ,
Australia ,
California ,
Cybersecurity ,
Data Protection ,
Data Security ,
Digital Assets ,
Personal Information ,
Privacy Acts ,
Privacy Laws ,
UK
UK Financial Insights from Katten is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds in the UK and Europe....more
Katten's Privacy, Data and Cybersecurity Quick Clicks is a monthly newsletter highlighting the latest news and legal developments involving privacy, data and cybersecurity issues across the globe....more
4/18/2024
/ Artificial Intelligence ,
China ,
Cross-Border Transactions ,
Cybersecurity ,
Data Privacy ,
Data Protection ,
Data Security ,
Department of Health and Human Services (HHS) ,
Financial Conduct Authority (FCA) ,
NYDFS ,
Privacy Laws
Katten's Privacy, Data and Cybersecurity Quick Clicks is a monthly newsletter highlighting the latest news and legal developments involving privacy, data and cybersecurity issues across the globe....more
3/21/2024
/ Artificial Intelligence ,
Cybersecurity ,
Data Collection ,
Data Privacy ,
Data Protection ,
Data Security ,
Digital Assets ,
EU ,
Personally Identifiable Information ,
Privacy Laws ,
UK
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
7/28/2023
/ CFTC ,
Cybersecurity ,
Data Privacy ,
Digital Currency ,
EU-US Privacy Shield ,
European Commission ,
Executive Compensation ,
Financial Conduct Authority (FCA) ,
HM Treasury ,
Proxy Voting Guidelines ,
Securities and Exchange Commission (SEC) ,
UK
New DOL Rule Enables Consideration of ESG Factors in Investing, Plus the SEC Continues its ESG Enforcement Push in the Absence of Final SEC Rules -
On November 22, the US Department of Labor (DOL) announced a final rule...more
12/14/2022
/ Block Trades ,
Crypto Exchanges ,
Cryptoassets ,
Cybersecurity ,
Data Protection ,
Department of Labor (DOL) ,
Environmental Social & Governance (ESG) ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
Personal Data ,
Private Investment Funds ,
Securities and Exchange Commission (SEC) ,
UK
BROKER-DEALER FINRA -
Shares Practices Firms Use to Protect Customers from Online Account Takeover Attempts -
On April 11, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 21-18 (Notice) in...more
Key Points -
- The Court of Justice of the European Union (CJEU) struck down the EU-U.S. Privacy Shield (Privacy Shield) as a mechanism for transferring EU personal data to the United States;
- Standard Contractual...more
BROKER-DEALER -
FINRA Issues Information Notice Regarding Suspicious Email Sent to Member Firms -
On February 13, the Financial Industry Regulatory Authority (FINRA) published an information notice alerting member firms...more
2/25/2019
/ Broker-Dealer ,
BSA/AML ,
CFTC ,
Collective Investment Schemes ,
Counterparty Risk ,
Cybersecurity ,
Derivatives ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
No-Deal Brexit ,
UK
SEC/CORPORATE -
SEC Proposes Budget for Fiscal Year 2019 -
On February 12, the Securities and Exchange Commission issued a press release announcing its budget request for fiscal year 2019, which represents a 3.5 percent...more
BROKER-DEALER -
FINRA Releases 2018 Regulatory and Examination Priority Letter -
On January 8, the Financial Industry Regulatory Authority (FINRA) released its annual Regulatory and Examination Priority Letter detailing...more
1/15/2018
/ CFTC ,
Cybersecurity ,
Examination Priorities ,
Financial Conduct Authority (FCA) ,
Initial Coin Offering (ICOs) ,
ISDA ,
ISDA Master Agreement ,
MiFID ,
MiFID II ,
Reporting Requirements ,
Trade Relations ,
UK Brexit
BROKER-DEALER -
FINRA Proposes to Make New TRACE Security Activity Reports Available -
On June 19, the Financial Industry Regulatory Authority filed a proposed rule amendment that would make new Trade Reporting and...more
SEC/CORPORATE -
SEC Division of Corporation Finance Issues 12 New and Revised C&DIs Regarding Non-GAAP Measures -
As noted in the May 13 edition of Corporate and Financial Weekly Digest, SEC Chair Mary Joe White,...more
5/23/2016
/ Auditors ,
C&DIs ,
Cybersecurity ,
EU ,
Financial Conduct Authority (FCA) ,
Mary Jo White ,
MiFID ,
MiFIR ,
Non-GAAP Financial Measures ,
PCAOB ,
Residual Interest ,
Securities and Exchange Commission (SEC) ,
UK
SEC/CORPORATE -
SEC Chair Addresses Advisory Committee on Small and Emerging Companies -
On February 25, Securities and Exchange Commission Chair Mary Jo White addressed members of the SEC’s Advisory Committee on...more
3/7/2016
/ Bonuses ,
CRD IV Directive ,
Credit Default Swaps ,
Cybersecurity ,
Disclosure Requirements ,
Emerging Growth Companies ,
EU ,
Swap Clearing ,
TRACE ,
UCITS ,
UK
In this issue:
- Meeting of the SEC Advisory Committee on Small and Emerging Companies
- Financial Action Task Force Publishes Updated List of Deficient Jurisdictions
- CFTC to Host Roundtable on...more
3/9/2015
/ CFTC ,
Cybersecurity ,
Destruction of Evidence ,
EU ,
FATF ,
Foreign Banks ,
Jurisdiction ,
Risk Alert ,
Sarbanes-Oxley ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Small Business ,
Volcker Rule
In this issue:
- SEC Advisory Committee on Small and Emerging Companies to Discuss “Accredited Investor” Definition
- Glass Lewis Enhances its Pay-for-Performance and Equity Plan Models
- SEC Issues New...more
2/9/2015
/ Accredited Investors ,
CBOE ,
Cybersecurity ,
Emerging Growth Companies ,
Enforcement Actions ,
Equity Plans ,
European Securities and Markets Authority (ESMA) ,
Exchange Offer ,
Federal Reserve ,
Financial Industry Regulatory Authority (FINRA) ,
Glass Lewis ,
Pay-for-Performance ,
Ponzi Scheme ,
Private Student Loans ,
Proposed Amendments ,
Securities and Exchange Commission (SEC) ,
Small Business ,
Tender Offers