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Regulatory Requirements › Risk Management › Mobile Devices

WilmerHale

Why Depository Institutions, with or Without Affiliated Securities Firms, can and should Manage Employee Use of Personal Devices...

WilmerHale on

The purpose of this paper is to show how the failure to monitor for and prevent off-channel communications poses risk to traditional depository institutions that are not subject to the jurisdiction of securities-law...more

Kramer Levin Naftalis & Frankel LLP

Cybersecurity: the SEC Provides Guidance on Well-Known and Emerging Best Practices

Kramer Levin Naftalis & Frankel LLP on

At the end of January, the U.S. Securities and Exchange’s Office of Compliance Inspections and Examinations (OCIE) released its “Observations on Cybersecurity and Resiliency Practices” (Observations)....more

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