News & Analysis as of

Business Organization Finance & Banking Privacy

Read Business Organization updates, alerts, news, and legal analysis from leading lawyers and law firms:

Reminders for Annual Meeting Proxy Materials

When finalizing proxy materials for upcoming annual shareholder meetings, we recommend that public companies consider the following requirements under the Securities and Exchange Commission (SEC) rules and stock exchange...more

SEC Issues Updated Guidance on Public Company Cybersecurity Disclosures

by Proskauer Rose LLP on

On February 21, 2018, the Securities and Exchange Commission (SEC) issued an interpretive Commission Statement and Guidance on Public Company Cybersecurity Disclosures (the "Guidance") to assist public companies in meeting...more

Investment Funds Update Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

by Dechert LLP on

FCA Report on Algorithmic Trading Compliance in the Wholesale Markets - The FCA published a report on “Algorithmic Trading Compliance in Wholesale Markets” on 12 February 2018. The report followed certain research into...more

Private Funds Update - February 2018

by Bracewell LLP on

SEC's OCIE Announces 2018 Examination Priorities - ...On February 7, 2018, the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) released its 2018 examination...more

Highlights From SEC Speaks 2018: Litigation and Enforcement Trends

by Vedder Price on

The U.S. Securities and Exchange Commission (“SEC” or the “Commission”) held its annual SEC Speaks conference in Washington, DC on February 23 and 24, 2018 and provided remarks from the Chairman and commissioners, discussions...more

A Cyber Incident Moves Pretty Fast, If You Aren't Ready To Respond, You Might Blow It

by Bracewell LLP on

The Securities and Exchange Commission (SEC) expanded its warnings to public companies that generic disclosures identifying cybersecurity risk factors may be insufficient. Rather, the SEC seems to expect companies to conduct...more

SEC on Cybersecurity: Jay Clayton’s “Light Touch”

by Perkins Coie on

This week, the U.S. Securities and Exchange Commission (SEC) issued its first formal interpretative release on public company disclosure obligations relating to cybersecurity since the SEC Division of Corporation Finance’s...more

U.S. Securities and Exchange Commission Updates Cybersecurity Disclosure Guidance - Agency Continues to Prioritize Cybersecurity...

by Holland & Knight LLP on

• The U.S. Securities and Exchange Commission (SEC) released, on Feb. 21, 2018, updated guidance regarding public company cybersecurity disclosures. The guidance updates the Commission's 2011 non-binding guidance and...more

Blockchain and Quantum Computing

2018 promises great inroads in the realm of “quantum computing.” While conventional computers use binary data or bits (i.e., 0s and 1s) to store and process information (a bit can either store a 0 or 1), a quantum computer...more

SEC Updated Guidance on Cyber Disclosure by Publicly Traded Companies in a Digitally-Connected World

by White and Williams LLP on

...The Securities and Exchange Commission (the “Commission”) Wednesday announced updated cybersecurity guidance for public companies. This guidance reinforces the Division of Corporation Finance guidance issued in October...more

Countdown to GDPR-Episode 1, Introduction to GDPR

by Thomas Fox on

Whether you are ready or not, the EU General Data Protection Regulation (GDPR) goes live on May 25, 2018. It will impact companies doing business in London as much as any other EU legislation. To help US companies prepare,...more

SEC Staff Announces 2018 OCIE Examination Priorities

by Proskauer Rose LLP on

Last week the staff of the Office of Compliance Inspections and Examinations (OCIE) of the SEC announced its 2018 examination priorities. The 2018 examination priorities include five thematic areas: (i) compliance and risks...more

The Top Ten Regulatory and Litigation Risks for Private Funds in 2018

With the public equity markets at an all-time high and private equity fund raising setting new records, it might seem counter-intuitive to forecast litigation and regulatory risks. The opposite is true. Disputes typically...more

Blockchain and Privacy

Discussions about “blockchain” technology seem to be everywhere these days, with potential applications spanning industries as diverse as banking, healthcare, real estate, law enforcement, entertainment, and even wine and...more

In Case You Missed It: Launch Links - February, 2018

by WilmerHale on

Some interesting links we found across the web this week: - 3 Things Every Startup Cofounder Should Keep in Mind - Co-founders are like spouses, friends, teammates and colleagues all wrapped up in one....more

Upcoming Investor Advisory Committee Meeting

The Securities and Exchange Committee announced the agenda for the March 8, 2018 meeting of its Investor Advisory Committee, which will include, among other things, a discussion of dual class share structures and...more

SEC Enforcement in Financial Reporting and Disclosure—2017 Year-End Update

by Jones Day on

2017 will most likely be remembered as a year of transition, as the Securities and Exchange Commission’s enforcement actions indicate, at least in the near term, an emphasis on specific initiatives and retail investor...more

European Businesses Offering Payment Services Told How to Manage Operational and Security Risks

Payment service providers operating in the EU must take note of new risk management requirements from the European Banking Authority. The European Banking Authority’s operational and risk management guidelines apply to all...more

Wells Fargo’s CAMELS Rating Leaked

by Vedder Price on

The Wall Street Journal recently reported that the management component of the CAMELS rating for Wells Fargo Bank, NA had been downgraded to a “3” during 2017. A “3” rating of management means that the capabilities of...more

Banks Find Success Suing Over Data Breaches

Banks continue to file suit against retailers, hoping to shift the costs of data breaches, with some recent success. What happened - In January 2016, hackers accessed Eddie Bauer’s point-of-sale register system and...more

Structured Thoughts: News for the financial services community, Volume 8, Issue 8

Sales of VIX-Linked ETPs – Back to Basics for FINRA - FINRA used a misselling case to remind member firms of certain fundamentals, including the importance of implementing a new product approval process, reasonable...more

Digital Currency Vulnerable To Cybersecurity Attacks

by King & Spalding on

The Commodity Futures Trading Commission (“CFTC”) recently warned that “digital wallets” used to store virtual currency such as Bitcoin could be susceptible to cybersecurity attacks. ...more

Government Enforcement Investigations – What You Need to Know in 2018

On October 4, 2017, Skadden presented the seminar “Government Enforcement Investigations – What You Need to Know in 2018.” Skadden partners Ryan Junck and Elizabeth Robertson, both based in London, moderated the panel...more

Investment Management Special Report - 2017-18 Compliance Developments & Calendar for Private Fund Advisers

Introduction - Despite an anticipated de-regulatory push, there are significant new regulatory concerns for investment advisers to address in connection with their annual review of their compliance manuals....more

Insider Trading and Equifax

by Sullivan & Worcester on

We regularly have conversations with our clients about whether particular non-public information is "material," who at the company knows about such information and whether certain individuals should be allowed to engage in...more

146 Results
View per page
Page: of 6

Follow Business Organization Updates on:

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

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up using*

Already signed up? Log in here

*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
*With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name. Or, sign up using your email address.