On May 16, 2024, the U.S. Securities and Exchange Commission (“SEC”) adopted amendments to Regulation S-P (“Reg S-P”) that are intended to help protect investors’ privacy from the “expanded use of technology and corresponding...more
5/29/2024
/ Broker-Dealer ,
Compliance ,
Customer Information ,
Incident Response Plans ,
Investment Adviser ,
Investors ,
Notice Requirements ,
Personal Information ,
Policies and Procedures ,
Privacy Laws ,
Recordkeeping Requirements ,
Regulation S-P ,
Securities and Exchange Commission (SEC)
The Securities and Exchange Commission, on October 12, 2022, adopted amendments to its books and records electronic storage requirements for broker-dealers and certain security-based swap entities (“SBSEs”). The final rule...more
On June 7, 2022, Senator Kirsten Gillibrand (D-NY) and Senator Cynthia Lummis (R-WY) introduced the Responsible Financial Innovation Act (RFIA), a highly anticipated legislative proposal that, if enacted by Congress and...more
On May 25, 2022, the Securities and Exchange Commission (the SEC) proposed rule and form amendments that, if adopted, would require specific, additional disclosures regarding environmental, social, and governance (ESG)...more
As part of our ongoing series of virtual panel discussions exploring a select number of themes instrumental in shaping the future of the global banking sector, our next webinar will focus on digital assets. In this session,...more
4/5/2022
/ Banking Sector ,
Banks ,
CFIUS ,
Continuing Legal Education ,
Cryptocurrency ,
Digital Assets ,
Financial Crimes ,
Financial Services Industry ,
Money Laundering ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Webinars