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Information Commissioner's Office (ICO) Securities and Exchange Commission (SEC)

Dechert LLP

Dechert Cyber Bits - Issue 56

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SEC Fines the New York Stock Exchange’s Parent Company $10 million for Failure to Promptly Notify Its Subsidiaries of Cybersecurity Breach - On May 22, 2024, the Securities and Exchange Commission (“SEC”) imposed a $10...more

Dechert LLP

Dechert Cyber Bits - Issue 22

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SEC Chair Gensler Indicates Commission is Looking to Update SEC’s Regulation S-P - On September 28, 2022, Securities and Exchange Commission (“SEC” or the “Commission”) Chairman Gary Gensler appeared via video at the...more

Blank Rome LLP

The BR Privacy & Security Download: March 2022

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Welcome to this month's issue of The BR Privacy & Security Download, the digital newsletter of Blank Rome’s Privacy, Security & Data Protection practice. ...more

Goodwin

Litigation Insights - July 2021

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FOREWORD - On behalf of the new and expanding Goodwin London litigation team I am delighted to welcome you to our first ever ‘Litigation Insights’: a series of quarterly updates on important and interesting developments...more

Morrison & Foerster LLP

SEC To LBRY: “You’re Overdue.” Recent Enforcement Action Highlights Evolving SEC Focus On Decentralization

“Decentralization” is a concept that has consistently vexed the entire blockchain-enabled ecosystem in the U.S., including its counsel and regulators, wherein a lack of clarity on the exact definition of decentralization has...more

Skadden, Arps, Slate, Meagher & Flom LLP

Privacy & Cybersecurity Update - March 2021

In this month’s edition, we examine California’s new regulations enhancing opt-out rights in the California Consumer Privacy Act and the state's selections for the California Privacy Protection Agency’s inaugural board. We...more

Goodwin

UK ICO Confirms Transfers Of Data To SEC In The Public Interest

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The UK Information Commissioner’s Office (“ICO”) has published a letter sent to the U.S. Securities and Exchange Commission. The ICO confirms that it is possible for SEC regulated UK firms to transfer personal data to the...more

Hogan Lovells

Financial institutions general regulatory news, February 2021 # 4

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Operational resilience: developments in the financial services sector in the UK - In recent years, operational resilience has come under the spotlight of financial regulators globally, leading to a proliferation of new...more

Fox Rothschild LLP

UK: Companies Transferring Compliance Data To SEC Can Use Article 49 Of GDPR

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Transfers for compliance with U.S. law can generally be done under the General Data Protection Regulation (GDPR) Article 49 derogation, said the United Kingdom's Information Commissioners Office (ICO) in a letter to the U.S....more

Akin Gump Strauss Hauer & Feld LLP

U.K. Privacy Regulator Clarifies How U.K. Firms May Respond to SEC Document and Records Requests

Key Points The United States Securities and Exchange Commission (SEC) is able to make requests of U.K. firms (including U.K. branches of non-U.K. firms) to provide books and records and other documents of SEC regulated...more

Jones Day

Jones Day Global Privacy & Cybersecurity Update | Vol. 25

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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

Jones Day

Jones Day Global Privacy & Cybersecurity Update | Vol. 24

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UNITED STATES - Regulatory—Policy, Best Practices, and Standards - FTC Submits Comment on the Preliminary Draft for the NIST Privacy Framework - On October 24, 2019, the Federal Trade Commission ("FTC") announced that...more

A&O Shearman

US Securities and Exchange Commission Halts Fraudulent Initial Coin Offering

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The Securities and Exchange Commission announced that it halted a planned initial coin offering and related pre-ICO sales by Blockvest LLC and its founder, Reginald Buddy Ringgold, III. In seeking an emergency court order,...more

Latham & Watkins LLP

SEC Charges “ICO Superstore” as Unregistered Broker-Dealer

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The settled order is the first SEC action charging a seller of digital tokens as an unregistered broker-dealer. On September 11, 2018, the U.S. Securities and Exchange Commission (SEC) announced a settled order instituting...more

Katten Muchin Rosenman LLP

Bridging the Weeks - June 2018

The chief executive officer of a major worldwide banking group agreed to pay the equivalent of US $870,000 as fines to two United Kingdom regulators, and had the equivalent of US $677,000 of prior pay clawed back by his...more

Proskauer Rose LLP

SEC Staff Announces 2018 OCIE Examination Priorities

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Last week the staff of the Office of Compliance Inspections and Examinations (OCIE) of the SEC announced its 2018 examination priorities. The 2018 examination priorities include five thematic areas: (i) compliance and risks...more

Robins Kaplan LLP

Your Daily Dose of Financial News

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A government audit report out yesterday accuses the US Dep’t of Housing and Urban Development of selling more than 100k distressed mortgages over a 7 year period to PE firms and hedge funds without following the proper rules...more

Jones Day

Global Privacy & Cybersecurity Update Vol. 14

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New York Attorney General Announces Record Number of Data Breach Notices in 2016 - On March 21, 2017, the New York Attorney General's Office announced that it received 1,300 reported data breaches in 2016—a 60 percent...more

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