News & Analysis as of September 19, 2024

European Commission

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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 -

Financial Markets and Funds Quick Take | Issue 16

Katten Muchin Rosenman LLP on 7/28/2023

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more

Upcoming Regulatory Initiatives Impacting Private Fund Managers - September 2022

Dechert LLP on 9/22/2022

This latest edition of the regulatory initiatives paper sets out at a high level the core regulatory issues that are likely to impact private fund managers in the coming months, including an overview of the key actions needed...more

Privacy Report: Senators Introduce Bipartisan Bill to Update Children’s Online Privacy Rules

ArentFox Schiff on 6/9/2021

The legislation updates the Children’s Online Privacy Protection Act (COPPA) by prohibiting internet companies from collecting personal information from anyone 13- to 15-years old without the user’s consent Senators...more

Corporate & Financial Weekly Digest, Featuring Articles on FINRA's Advice to Firms on Protecting Customers from Online Account...

Katten Muchin Rosenman LLP on 5/17/2021

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

New Focus and Compliance Approach Needed for Privacy and Cybersecurity

Proskauer - The Capital Commitment on 4/9/2021

In 2020, we saw an increased regulatory focus on cybersecurity. Though former SEC Chairman Clayton largely took the view that existing statutes and regulations were sufficient, the Division of Examinations increased exam...more

Jones Day Global Privacy & Cybersecurity Update | Vol. 25

Jones Day on 4/1/2020

UNITED STATES - Regulatory—Policy, Best Practices, and Standards - Cybersecurity Standards Issued for Government Contractors - On January 31, the Office of the Under Secretary of Defense for Acquisition and...more

Governance & Securities Law Focus: Asia Edition - July 2018

A&O Shearman on 8/1/2018

In this newsletter, we provide a snapshot of the principal Asian, US, European and selected international governance and securities law developments of interest to Asian corporates and financial institutions. ...more

Governance & Securities Law Focus: Latin America Edition - May 2018

A&O Shearman on 5/31/2018

This newsletter provides a snapshot of the principal U.S. and selected international governance and securities law developments during the first quarter of 2018 that may be of interest to Latin American corporations and...more

Your Daily Dose of Financial News

Robins Kaplan LLP on 4/25/2018

A scary combination of rising bond yields (across the 3% Rubicon!) and a warning from Caterpillar (which called its expectation-beating performance for Q1 the “high watermark for the year”) helped propel stocks significantly...more

Orrick's Financial Industry Week In Review

Orrick, Herrington & Sutcliffe LLP on 2/16/2018

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

Financial Regulatory Developments Focus - November 2016

A&O Shearman on 11/21/2016

In this newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset managers and...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

Orrick's Financial Industry Week in Review

Orrick, Herrington & Sutcliffe LLP on 7/18/2016

Federal Reserve Announces Extension of Conformance Period under Section 13 of the Bank Holding Company Act - On July 7, 2016, the Federal Reserve announced that it will extend until July 21, 2017 the conformance period...more

Whom Should You Suspend During an Internal Investigation?

Thomas Fox - Compliance Evangelist on 10/27/2015

Whom to suspend during any Foreign Corrupt Practices Act (FCPA) investigation is always a delicate question to answer. Unfortunately there is never an easy answer. As the Volkswagen (VW) emission-testing scandal continues to...more

Compliance at the Tipping Point, Part IV – The Schrems Decision

Thomas Fox - Compliance Evangelist on 10/15/2015

I continue my exploration of why I believe that compliance is at the Tipping Point, with today’s entry of data point four, which is last week’s decision by the European Court of Justice (ECJ) in the Schrems case. While most...more

Orrick's Financial Industry Week in Review

Orrick, Herrington & Sutcliffe LLP on 5/8/2015

SEC Proposes Rules to Require Disclosure Regarding the Relationship Between Executive Pay and Company Financial Performance - On April 29, the Securities and Exchange Commission published proposed rules that would...more

Bridging the Week - February 2015 #2

Katten Muchin Rosenman LLP on 2/10/2015

Industry Watchdogs Warn Brokers and Advisory Firms on Cybersecurity Threats - Both the Securities and Exchange Commission and the Financial Industry Regulatory Authority published observations of their review of...more

Bridging the Week - October 2014 #4

Katten Muchin Rosenman LLP on 10/28/2014

Senior Fed Officials Encourage Financial Industry Firms to Improve Compliance Culture - Enhancing culture was the theme at a workshop on “Reforming Culture and Behavior in the Financial Services Industry” held at the...more

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