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Cybersecurity › Securities and Exchange Commission (SEC) › Financial Crimes

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 -
Ropes & Gray LLP

SEC Speaks 2025: Key Takeaways from Division of Enforcement Panels

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The SEC’s Division of Enforcement intends to remain a “cop on the beat,” and will refocus on traditional core enforcement areas, such as insider trading, accounting and disclosure fraud, market manipulation, and breaches of...more

BakerHostetler

Weekly Blockchain Blog - March 2025 #4

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Digital Asset Companies Announce Strategic Acquisitions - According to a recent press release, a major U.S. cryptocurrency exchange has entered into an agreement to acquire NinjaTrader, a U.S. retail futures trading...more

Paul Hastings LLP

The Bybit Hack of 2025 — Potential Implications

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On February 21, 2025, Dubai-based Bybit, one of the world’s leading cryptocurrency exchanges, suffered a massive security breach, resulting in the loss of approximately $1.5 billion in Ethereum (ETH). The incident, which is...more

Morrison & Foerster LLP

Top 5 SEC Enforcement Developments for December 2024

Morrison & Foerster LLP on

Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. This month, we examine: •Insider trading charges against a professor overseeing...more

Troutman Pepper Locke

2023 Year-In-Review: Key Enforcement Initiatives and Cases in Crypto, Cyber, SPACs, Whistleblowers, and the Future of...

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It was a busy year for enforcement activity in the cyber, crypto, SPAC, and whistleblower spaces, with several pending actions that will likely have wide-ranging implications in 2024. We are also awaiting a ruling from the...more

Goodwin

FINRA Publishes 2024 Annual Regulatory Oversight Report

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On January 9, 2024, FINRA published its 2024 Annual Regulatory Oversight Report (the “Report”). FINRA publishes the Report as a way to provide its broker-dealer members with insight into findings from FINRA’s Member...more

Carlton Fields

FINRA Issues 2024 Annual Regulatory Oversight Report

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FINRA issued its 2024 Annual Regulatory Oversight Report on January 9, 2024, providing a glimpse into FINRA’s current regulatory oversight of member firms and their registered personnel in 27 topic areas....more

Mayer Brown Free Writings + Perspectives

FINRA Publishes 2024 Annual Regulatory Oversight Report

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New Topics and Content Highlight FINRA’s Increased Focus on Cybersecurity, Crypto Assets, Artificial Intelligence, Market Integrity, Off-Channel Communications and Other Key Risk Areas - On January 9, 2024, the Financial...more

Husch Blackwell LLP

Legal Insights for Manufacturing: Outlook for 2024

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Our downloadable report, Legal Insights for Manufacturing, explores how the business, legal, and regulatory framework is evolving—and will evolve—to address the large generational shifts taking place. This year, our report...more

Akin Gump Strauss Hauer & Feld LLP

Government Enforcers Focused on Coronavirus-related Actions

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- Market participants should review and assess their compliance procedures to prevent and detect insider trading risks associated with COVID-19. - Companies should increase their vigilance regarding cybersecurity threats...more

Katten Muchin Rosenman LLP

Bridging the Weeks - July 2019 #4

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The Commodity Futures Trading Commission and the Securities and Exchange Commission brought separate enforcement actions against the portfolio manager of a hedge fund for mismarking valuations of interest rate swaps in order...more

Skadden, Arps, Slate, Meagher & Flom LLP

Cross-Border Investigations Update - January 2019

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This issue of Skadden’s semiannual Cross-Border Investigations Update takes a close look at recent cases, regulatory activity and other key developments, including DOJ guidance on the use of corporate monitors in criminal...more

K&L Gates LLP

The Future of Financial Crime and Enforcement is Cyber-Based

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On November 8, 2017, federal prosecutors in the Eastern District of New York indicted Joseph P. Willner—a securities trader from Pennsylvania—for securities fraud, money laundering, and associated conspiracy charges related...more

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