News & Analysis as of June 5, 2025

Cybersecurity › Risk Management › Financial Markets

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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... more +

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 -

UK Financial Stability in Focus report: AI in the financial system

A&O Shearman on 4/18/2025

The Financial Policy Committee (FPC) of the Bank of England (BoE) has published the Financial Stability in Focus report on AI in the UK financial system. The FPC considers the potential benefits of AI with its growing...more

In Discussion with Molly McCafferty

Vedder Price on 4/16/2025

Evolving risks associated with global shipping, driven by geopolitical tensions, piracy, cybersecurity attacks, environmental regulations and climate change, are significantly influencing ship finance transactions, risk...more

The regulation of FMI - The Bank of England’s priorities for 2025

Hogan Lovells on 2/18/2025

The Bank of England has outlined its priorities for 2025 in the regulation of Financial Market Infrastructure. In a speech given on 10 February 2024, the Bank of England (the “Bank”) outlined its priorities for 2025 in the...more

Global Foreign Exchange Committee publishes amended FX Global Code of Conduct

A&O Shearman on 2/6/2025

The Global Foreign Exchange Committee (GFXC) has published the updated version of the FX Global Code of Conduct (dated December 2024), which supersedes the previous version (from July 2021). Updates have been made to...more

Hong Kong's Policy Statement on Responsible Application of Artificial Intelligence in the Financial Market

Mayer Brown on 12/23/2024

INTRODUCTION - On 28 October 2024, the Financial Services and Treasury Bureau ("FSTB") of Hong Kong issued a policy statement on the responsible application of artificial intelligence ("AI") in the financial market...more

Applying the Enterprise Risk Mindset to Navigate Cybersecurity Threats - New Risk Mindset Series

Mayer Brown on 11/19/2024

Financial institutions and securities market participants continue to face escalating cyber threats – in frequency, volume, and severity. The many reasons for the escalating risk include: Financial services companies are...more

The EU’s Digital Operational Resilience Act 2022/2554 (DORA)

BCLP on 9/23/2024

Long IT sub-contracting chains can make it hard for financial institutions to understand the vulnerabilities in their IT estate and the location of key functions (where these may be located in entities who do not have a...more

Regulatory Roundup for July 2024

SEC Compliance Consultants, Inc. (SEC³) on 7/31/2024

SEC Loses in ALJ Case, DOL’s Latest Fiduciary Rule Put on Hold, and SEC Reconsiders AI and Custody Rule Proposals - Welcome to our July Regulatory Roundup, where we provide a quick look at the latest regulatory developments....more

CFPB Launches New Initiative Focused on Rural Communities

Goodwin on 3/18/2022

In This Issue. The Consumer Financial Protection Bureau (CFPB) announced a new initiative focused on financial issues faced by rural communities and also updated its examination procedures to cover unfair discrimination; the...more

Fintech 2020: A Global Survey on the State of Financial Technology

Goodwin on 9/16/2020

Letter from Our Co-Chairs - As the digital transformation of financial markets accelerates at breakneck speeds, fintech presents significant opportunities and challenges for both investors and innovators around the world. ...more

Investment Management Update

Ballard Spahr LLP on 2/15/2019

The Securities and Exchange Commission (SEC) has proposed a new rule and related amendments designed to streamline and enhance the regulatory framework for "fund of funds" arrangements....more

SEC Commissioners Provide Guidance On Cybersecurity Disclosures After Wave Of Record Incidents

Orrick, Herrington & Sutcliffe LLP on 3/16/2018

Much has been written about the SEC’s interpretive guidance on cybersecurity disclosures, issued in late February, including Commissioner Stein’s statement that it under-delivers for investors, public companies, and the...more

Colorado Division of Securities Publishes Final Cybersecurity Rules

Ballard Spahr LLP on 5/23/2017

The Colorado Division of Securities (Division) has published final cybersecurity rules applicable to broker-dealers and investment advisers. The Colorado Attorney General's office has 20 days to write an opinion on the rules,...more

SEC Warns of Ransomware Attacks

Patterson Belknap Webb & Tyler LLP on 5/19/2017

The U.S. Securities and Exchange Commission is asking broker-dealers, investment advisers and funds to redouble their cybersecurity efforts in wake of the global cyber-attack of the WannaCry virus that has spread to more than...more

Orrick's Financial Industry Week In Review

Orrick, Herrington & Sutcliffe LLP on 2/24/2017

Financial Industry Developments - New York Department of Financial Services Promulgates First-in-the-Nation State Cybersecurity Regulation - On February 16, 2017, the New York Department of Financial Institutions...more

FINRA’s 2017 Regulatory & Exam Priorities

Burr & Forman on 1/6/2017

On January 4, new President and CEO Richard Cook issued FINRA’s Annual Regulatory and Examination Priorities Letter. This year’s list in summary is: New for 2017: Targeted electronic off-site reviews “on select...more

Orrick's Financial Industry Week In Review

Orrick, Herrington & Sutcliffe LLP on 10/28/2016

Financial Industry Developments - Agencies Issue Advanced Notice of Proposed Rulemaking on Enhanced Cyber Risk Management Standards - On October 19, 2016, the Federal Reserve Board, the Federal Deposit Insurance...more

International Regulators Issue Cybersecurity Guidance to the Financial Industry

Ballard Spahr LLP on 7/7/2016

The Bank for International Settlement (BIS) Committee on Payments and Market Infrastructures (CPMI) and the International Organization of Securities Commissions (IOSCO) last week issued the first internationally agreed-upon...more

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