Cybersecurity, Strategic Enforcement Plan

Leading Federal Officials Offer Advice on How Corporations Can Minimize Law Enforcement Risk

Holland & Knight LLP on 12/5/2019

Holland & Knight, the Florida Chamber of Commerce and the Miami-Dade Beacon Council hosted the Second Annual Florida Enforcement Summit on Nov. 20, 2019. The half-day program focused on informing the business community how to...more

Regulatory Moves Show Financial Watchdogs Working Smarter, if Not Harder

Sheppard Mullin Richter & Hampton LLP on 10/31/2019

To gain insight into where the Securities and Exchange Commission (“SEC”) and Commodity Futures Trading Commission (“CFTC”) have been focusing their oversight and what their priorities will be in 2020, look no further than...more

Private Funds Litigation/Regulatory Year in Review and 2019 Outlook

Pillsbury Winthrop Shaw Pittman LLP on 3/6/2019

Although the SEC did not bring as many headline enforcement actions against private funds as in years past, it continues to devote substantial resources and attention on investment advisers. The SEC will maintain its...more

Cyber-resilience - a repeated regulatory message

WilmerHale on 5/9/2017

An expectation that regulated financial services firms be ‘cyber-resilient’ should not cause any surprise. Cyber-crime and data breaches represent major risks for business generally. Comparatively, that risk is not mitigated...more

3rd Circuit Affirms FTC’s Cybersecurity Oversight

Akin Gump Strauss Hauer & Feld LLP on 9/1/2015

If you read one thing: - The Federal Trade Commission (FTC) secured a major appellate victory in its quest to challenge lax corporate cybersecurity practices - In light of the 3rd Circuit’s decision,...more

FINRA’s 2015 Exam Priorities

Burr & Forman on 1/13/2015

The Financial Industry Regulatory Authority (“FINRA”) released its 10th annual Exam Priority Letter earlier this week (Jan. 6, 2015). The so-called “Errico Letter” advises broker-dealer member firms of the operational risks...more

Challenges Physicians Can Expect in 2015

McAfee & Taft on 1/12/2015

Reimbursement for medical services continues to decline. Continuing uncertainty about the Affordable Care Act persists. Government regulations create burdensome paperwork, busywork, and compliance headaches. Technology costs...more

Cybersecurity: Dig That Crazy Important Beat

Carlton Fields on 1/12/2015

The SEC and FINRA are maintaining a steady drumbeat to motivate regulated firms to adequately protect themselves from cyberattack. The SEC’s Office of Compliance Inspections and Examinations (OCIE) began 2014 by...more

2014/2015 Labor and Employment Observer

Cozen O'Connor on 1/2/2015

In This Issue: - Message from the Chair - On the Horizon: Is Obama Remaking the Workplace While Leaving Congress Behind? - The 2014 Supreme Court Decisions Every Employer Should Know - What to Expect from the...more

DOJ Announces New Cybersecurity Unit in the Criminal Division

Morgan Lewis on 12/10/2014

To address cyber threats on multiple fronts, the DOJ is creating a new Cybersecurity Unit with the goal of having both a robust enforcement strategy as well as a broad prevention strategy....more

2014 SEC and FINRA Enforcement Actions Against Broker-Dealers and Investment Advisers

K&L Gates LLP on 12/3/2014

The sheer number of enforcement actions brought against broker-dealers and investment advisers makes it challenging to keep up. In this alert, we divide this year’s most important cases against broker-dealers and investment...more

Securities Enforcement Forum 2014 — SEC/FINRA Investigations & Cybersecurity Priorities

Brooks Pierce on 10/16/2014

Yesterday I blogged from the Securities Enforcement Forum 2014, Bruce Carton’s excellent one-day conference, held at the Four Seasons hotel in Washington, D.C. The posts will be fairly raw, and certainly not verbatim...more

Cybersecurity › Strategic Enforcement Plan

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