News & Analysis as of October 19, 2024

Cybersecurity

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The European Union is an economic and political partnership comprised of 27 nations within the Eurozone. The EU was established in 1948 to promote stability and cooperation among member states in the aftermath of WWII. The EU maintains a common currency as well as several intranational institutions, including the European Parliament and the European Commission. less -

ESG Guidepost | Issue 15

Katten Muchin Rosenman LLP on 6/26/2024

Katten ESG Guidepost is a monthly publication highlighting the latest news, legal and regulatory developments involving environmental, social and governance matters....more

Upcoming Regulatory Initiatives Impacting Private Fund Managers - September 2022

Dechert LLP on 9/22/2022

This latest edition of the regulatory initiatives paper sets out at a high level the core regulatory issues that are likely to impact private fund managers in the coming months, including an overview of the key actions needed...more

Cross-Border Investigations Update - September 2019

Skadden, Arps, Slate, Meagher & Flom LLP on 10/3/2019

This issue of Skadden’s semiannual Cross-Border Investigations Update takes a close look at recent cases, regulatory activity and other key developments, including a review of the first year of GDPR enforcement, analysis of...more

Corporate & Financial Weekly Digest, Featuring Articles About FINRA Notices on Cybersecurity and Margin Requirements and No-Deal...

Katten Muchin Rosenman LLP on 2/25/2019

BROKER-DEALER - FINRA Issues Information Notice Regarding Suspicious Email Sent to Member Firms - On February 13, the Financial Industry Regulatory Authority (FINRA) published an information notice alerting member firms...more

Bridging the Week - December 2018

Katten Muchin Rosenman LLP on 12/11/2018

A federal judge said that it is not a violation of federal law for a trading firm and its chief executive officer to be smarter than their counterparties in ruling against the Commodity Futures Trading Commission in an...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

Corporate and Financial Weekly Digest, Featuring Topics on SEC/Corporate, Broker/Dealer, CFTC and UK/EU Developments

Katten Muchin Rosenman LLP on 2/19/2018

SEC/CORPORATE - SEC Proposes Budget for Fiscal Year 2019 - On February 12, the Securities and Exchange Commission issued a press release announcing its budget request for fiscal year 2019, which represents a 3.5 percent...more

Investment Management Special Report - 2017-18 Compliance Developments & Calendar for Private Fund Advisers

Akin Gump Strauss Hauer & Feld LLP on 10/12/2017

Introduction - Despite an anticipated de-regulatory push, there are significant new regulatory concerns for investment advisers to address in connection with their annual review of their compliance manuals. ...more

Orrick's Financial Industry Week In Review

Orrick, Herrington & Sutcliffe LLP on 5/30/2017

Financial Industry Developments - CFTC Launches LabCFTC as Major Fintech Initiative - On May 17, 2017, the Commodity Futures Trading Commission ("CFTC") approved the creation of LabCFTC, which it describes as "a new...more

Orrick's Financial Industry Week In Review

Orrick, Herrington & Sutcliffe LLP on 2/24/2017

Financial Industry Developments - New York Department of Financial Services Promulgates First-in-the-Nation State Cybersecurity Regulation - On February 16, 2017, the New York Department of Financial Institutions...more

Financial Regulatory Developments Focus - November 2016

A&O Shearman on 11/21/2016

In this newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset managers and...more

2016 Proskauer Annual Review and Outlook for Hedge Funds, Private Equity Funds and Other Private Funds

Proskauer Rose LLP on 11/16/2016

This special report provides a summary of some of the significant changes and developments that occurred in the past year in the private equity and hedge funds space, as well as certain recommended practices that investment...more

What’s Your Game Plan? Offensive or Defensive: Playing to Your Strengths [Expect Focus – October 2016]

Carlton Fields on 10/31/2016

- AXA Prevails at First Post-Jones v. Harris Excessive Fee Trial - Potential Secondary Effects of Regulatory Examinations: Evidentiary Issues and Preclusion in Parallel Litigation - On The Horizon: Global...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

"Privacy & Cybersecurity Update - September 2016"

Skadden, Arps, Slate, Meagher & Flom LLP on 10/3/2016

In this edition of our Privacy & Cybersecurity Update, we examine the Sixth Circuit's decision to allow injury-in-fact to be established by alleging a "substantial risk of harm" in a data breach case, New York state's...more

Bridging the Week - May 2016

Katten Muchin Rosenman LLP on 5/3/2016

FINRA Hands Out Report Cards on Potential Spoofing and Layering: The Financial Industry Regulatory Authority said that it issued its first cross-market equities report cards aimed at helping member firms identify potential...more

Corporate and Financial Weekly Digest - Volume XI, Issue 2

Katten Muchin Rosenman LLP on 1/18/2016

BROKER-DEALER - 2016 Examination Priorities Announced By SEC - On January 11, the Securities and Exchange Commission released the Office of Compliance Inspections and Examinations’ (OCIE) 2016 examination...more

Privacy & Cybersecurity Update - December 2015

Skadden, Arps, Slate, Meagher & Flom LLP on 1/5/2016

In this edition of our Privacy & Cybersecurity Update, we provide a detailed summary of the sweeping changes to be imposed by the European Union’s new data protection regulation, which will require many companies to begin...more

Corporate and Financial Weekly Digest - Volume X, Issue 47

Katten Muchin Rosenman LLP on 12/14/2015

SEC/CORPORATE - FAST Act Legislation and Impact on Securities Law - On December 4, President Obama signed into law the Fixing America’s Surface Transportation Act (FAST Act). This transportation bill includes...more

Corporate and Financial Weekly Digest - Volume X, Issue 34

Katten Muchin Rosenman LLP on 9/8/2015

CFTC - CFTC Announces Upcoming Agricultural Advisory Committee Meeting - The CFTC’s Agricultural Advisory Committee will hold a public meeting on September 22 to address speculative positions limits for...more

Bridging the Week - June 2015

Katten Muchin Rosenman LLP on 6/2/2015

Non-Recognition of US CCPs as Subject to Equivalent Regulation May Require European-Based Funds to Restrict Trading in US Centrally Cleared Derivatives - An opinion by the European Securities and Markets Authority...more

Corporate and Financial Weekly Digest - Volume X, Issue 9

Katten Muchin Rosenman LLP on 3/9/2015

In this issue: - Meeting of the SEC Advisory Committee on Small and Emerging Companies - Financial Action Task Force Publishes Updated List of Deficient Jurisdictions - CFTC to Host Roundtable on...more

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