News & Analysis as of September 18, 2024

Cybersecurity › Crowdfunding

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Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk... more +

Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk management, global regulations, data protection, leaks, hacking, cyber insurance, compliance, HIPAA, and every other aspect of cybersecurity of import to corporate readers right now. less -

FINRA’s 2024 Annual Regulatory Oversight Report: Select Observations

Davis Wright Tremaine LLP on 1/17/2024

FINRA recently published its 90-page 2024 Annual Regulatory Oversight Report (Report) providing member firms with insight into six primary topics: Financial Crimes, Crypto Asset Development, Firm Operations, Communications...more

Investigations update: Hong Kong authorities ramp up enforcement in virtual assets and other sectors

A&O Shearman on 1/11/2024

Hong Kong has seen cryptocurrencies grow in popularity, highlighting the need for appropriate licensing regimes (implemented in the form of virtual asset service providers (VASPs)), bolstered by active enforcement actions. ...more

Agencies Issue Joint Proposal to Strengthen and Modernize CRA Regulations

Goodwin on 5/16/2022

Regulatory Developments - Agencies Issue Joint Proposal to Strengthen and Modernize CRA Regs - On May 5, the FDIC, the FRB and the OCC issued a joint Notice of Proposed Rulemaking (NPR) to “strengthen and modernize” the...more

Exam Time: FINRA Releases its 2022 Report on its Examination and Risk Monitoring Program

Faegre Drinker Biddle & Reath LLP on 3/10/2022

A common phrase to abide by in the New Year is “out with the old, in with the new.” FINRA’s 2022 Report on its Examination and Risk Monitoring Program (the “Report”), however, contains a combination of old and new priorities....more

FINRA’S 2022 Report on Examination & Risk Monitoring Program

Burr & Forman on 2/10/2022

Over the last couple of decades, the securities self-regulatory organization FINRA (f/k/a NASD) informs its membership each year of what compliance risks are noted by its examination program. Those are risks firms should...more

ESMA reports on FinTech firm licensing regimes across Europe

White & Case LLP on 7/17/2019

On 12 July 2019 the European Securities and Markets Authority (ESMA) reported on the status of FinTech firm licensing regimes across the EU, based on two ESMA surveys of EU national competent authorities (NCAs). ESMA's report...more

SEC Focuses on Initial Coin Offerings: Tokens May Be Securities Under Federal Securities Laws

Dechert LLP on 9/13/2017

The U.S. Securities and Exchange Commission (SEC) has recently taken several actions to make clear that it is focused on and actively monitoring the rapidly growing market for so-called “token sales” or “initial coin...more

[Event] Nonprofits in the Digital Age - October 18th, Seattle, WA

Davis Wright Tremaine LLP on 9/27/2016

Please join us for a complimentary seminar focused on the critical legal issues facing nonprofits as they increasingly engage supporters, raise funds, and create change online and through digital technology....more

In Case You Missed It: Launch Links - July, 2016 #2

WilmerHale on 7/25/2016

Some interesting links we found across the web this week: Why You Don’t Need to Found Your Startup in Silicon Valley - Startups have the potential to thrive in places less "trendy" than California....more

Final MNvest Rules Adopted

Stinson - Corporate & Securities Law Blog on 6/14/2016

On June 13, the final administrative rules implementing the MNvest intra-state crowdfunding exemption were adopted. The MNvest Rules were first proposed back in November of 2015. Yesterday's publication in the Minnesota...more

Can Fintech Startups Carry Out Crowd-Funding in Hong Kong?

BCLP on 6/6/2016

What is crowd-funding? “Crowd-funding” is an umbrella term describing the use of small amounts of money, obtained from a large number of individuals or organisations, to fund a project, a business or personal loan, and...more

Corporate and Financial Weekly Digest - Volume XI, Issue 5

Katten Muchin Rosenman LLP on 2/8/2016

SEC/CORPORATE - SEC Approves FINRA’s Funding Portal Rules - On January 22, the Securities and Exchange Commission approved the Financial Industry Regulatory Authority’s funding portal rules and related forms for...more

Financial Services Report, Winter 2015

Morrison & Foerster LLP on 12/8/2015

BELTWAY - Finally Faster than Amazon Prime - The Federal Reserve Board recently announced that banks and other financial institutions that use its payments system will have to be able to process same-day...more

Financial Services Weekly News - November 2015 #3

Goodwin on 11/19/2015

Regulatory Developments - MSRB Publishes Compliance Advisory for Municipal Advisors: On Nov. 12 the Municipal Securities Rulemaking Board (MSRB) published its first municipal advisor compliance advisory, developed...more

Advisory Committee on Small and Emerging Companies Makes Three Written Recommendations to SEC

Morrison & Foerster LLP - JOBS Act on 9/24/2015

It was a productive morning at the last meeting of its current term for the SEC Advisory Committee on Small and Emerging Companies. The Committee, which has been renewed for two more years, approved three recommendations to...more

In Case You Missed It - Interesting Items for Corporate Counsel - November 2014

Stoel Rives LLP on 11/13/2014

1.As the year moves to a close, expect lots of chatter about the upcoming 2015 proxy season. Including from us beginning right now. 2.Almost certainly because good corporate governance practices just change so darn...more

Around the Virtual World: October 21-25, 2013

Pillsbury - Internet & Social Media Law Blog on 10/28/2013

A weekly wrap up of interesting news about virtual worlds, virtual goods and other social media. A Senator Raises Privacy Questions About Cross-Device Tracking - Senator Edward J. Markey, Democrat of...more

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