News & Analysis as of September 25, 2024

Cybersecurity › SIFMA

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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 -

SIFMA’s After-Action Report on Quantum Dawn VI Cybersecurity Exercise

Burr & Forman on 4/1/2022

On March 31, 2022, the Securities Industry and Financial Markets Association (“SIFMA”) released its after-action report on Quantum Dawn VI – a global financial-markets cybersecurity exercise....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

Investment Services Regulatory Update - February 2018

Vedder Price on 2/13/2018

New Rules, Proposed Rules, Guidance and Alerts – SEC STAFF GUIDANCE AND ALERTS - SEC Staff Issues Guidance on Cryptocurrency-related Holdings - On January 18, 2018, the staff of the SEC’s Division of Investment...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

Financial Industry Associations Agree on Common Cybersecurity Principles

McGuireWoods LLP on 5/16/2016

On May 9, 2016, the International Swaps and Derivatives Association, the European Banking Federation, and the Global Financial Markets Association (comprised of three other industry associations, including the Securities...more

Heard at the 2016 SIFMA Conference

K&L Gates LLP on 3/31/2016

Recently, attorneys from K&L Gates’ Government Enforcement practice group attended the Securities Industry and Financial Markets Association’s (“SIFMA”) Compliance and Legal Society Annual Seminar. We wanted to share with you...more

Quantum Dawn 3: SIFMA’s Cybergames

McGuireWoods LLP on 12/8/2015

It reads like a movie script: First, the financial services industry experiences a bout of firm-specific attacks in the form of distributed denial of service (DDoS), domain name system (DNS) poisoning, or breach of personally...more

SIFMA Urges Senate to Pass Cyber Sharing Bill

McGuireWoods LLP on 10/28/2015

It seems as if every day there is a new report of a data breach or cyber attack. For the same reason that Willie Sutton robbed banks — “because that’s where the money is” — cyber criminals have been incessant in their...more

SEC Shows It’s Serious About Cyber Security

Burr & Forman on 9/25/2015

A week after OCIE announced it would conduct a second round of cyber-security exams, the Commission emphasized the issue by bringing an enforcement action against a non-custodial investment-adviser over a remediated data...more

OCIE to Conduct More Cybersecurity Exams

Burr & Forman on 9/17/2015

This week the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) announced a second-round of cybersecurity examinations, continuing its initiatives on the issue. The move follows the SEC’s: March 2014 roundtable...more

SIFMA Gets Its Cybersecurity-Antitrust Wish

Brooks Pierce on 3/2/2015

I’m sure you remember SIFMA’s Principles for Effective Cybersecurity Regulatory Guidance, issued last October. I mean, you read about them right here. One of the principles was this: Principle 9: Information Sharing...more

What General Counsel Need To Know About The Latest Cybersecurity Developments

Latham & Watkins LLP on 2/27/2015

In the wake of reported security breaches at a number of significant financial institutions, cybersecurity is garnering more attention and concern than ever before — both within the financial services industry and among...more

Financial Services Weekly News Roundup - February 2015

Goodwin on 2/5/2015

Editor’s Note - CFTC Commissioner Giancarlo Proposes “Pro-Reform Reconsideration” of the Swaps Trading Rules. On January 29, CFTC Commissioner J. Christopher Giancarlo published a whitepaper titled “Pro-Reform...more

SIFMA Issues Cybersecurity Regulatory Principles

Brooks Pierce on 11/7/2014

Does everyone feel compelled to comment on cybersecurity issues? It seems that way. And on October 20th the Securities Industry and Financial Markets Association jumped deeper into the fray when it issued its Principles for...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

Administration and SIFMA Announce New Steps to Make Financial Data More Secure

Akin Gump Strauss Hauer & Feld LLP on 10/22/2014

On October 17, 2014, President Obama directed the federal government to take steps to improve the security of financial transactions in the United States. As part of the “BuySecure” Initiative, the President pledged a...more

FINRA Offers Regulatory Road Map for 2013

BakerHostetler on 2/7/2013

On January 11, 2013, the Financial Industry Regulatory Authority (FINRA) issued its annual Regulatory and Examination Priorities Letter (Priorities Letter) to member firms, which highlights its primary areas of focus for the...more

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