News & Analysis as of September 18, 2024

Cybersecurity › Securities

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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 -

What are the Potential Catalysts for M&A Resurgence in 2024?

Adams and Reese LLP on 1/29/2024

After a sluggish 2023 in which global merger and acquisition activity fell almost 20% to $2.87 trillion – the lowest level since 2013 – the question in the corporate world, is: ‘Will M&A roar back in 2024?’...more

Key Considerations for the 2024 Annual Reporting Season: Your Upcoming Form 20-F and other FPI-Specific Considerations

White & Case LLP on 1/26/2024

This memorandum outlines key considerations from White & Case's Public Company Advisory Group for foreign private issuers ("FPIs") during the 2024 annual reporting season, divided into two sections: Form 20-F Housekeeping...more

[White Paper] United States Insurance Trends and Decisions 2023

Hinshaw & Culbertson - Insights for Insurers on 12/22/2023

As 2024 rapidly approaches, we look back at some of the key decisions, trends, and developments impacting the U.S. insurance industry in 2023 and look ahead at some trends and cases to watch in 2024. Insurers continue to...more

SEC Releases Risk Alert on EXAMS Process

Akin Gump Strauss Hauer & Feld LLP on 9/12/2023

Investment Advisers: Assessing Risks, Scoping Examinations, and Requesting Documents* I. Introduction - The SEC-registered investment adviser (“adviser”) population is large and diverse, ranging from global asset managers...more

National Association of Insurance Commissioners (NAIC) 2023 Summer Meeting Summary

Mitchell, Williams, Selig, Gates & Woodyard,... on 8/24/2023

The Mitchell Williams Insurance Regulatory team of lawyers recently attended the National Association of Insurance Commissioners (NAIC) 2023 Summer National Meeting which was held in Seattle, Washington. We have prepared a...more

An In-Depth Look at the SEC’s Risk Management, Strategy and Governance Disclosures

Brownstein Hyatt Farber Schreck on 8/18/2023

On Aug. 2, we distributed an alert about the U.S. Securities and Exchange Commission’s (SEC) July 26, 2023, adoption of the Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure Rule. Our focus in that...more

Decoded - Technology Law Insights, V 4, Issue 7, August 2023

Spilman Thomas & Battle, PLLC on 8/4/2023

You may be Entitled to Financial Compensation…for Your Data - “Without all of our writings and photos that AI companies are using to train their models, they would have nothing to sell.” Why this is important: This...more

SEC Proposes to Expand Reg SCI

WilmerHale on 5/9/2023

The Securities and Exchange Commission (SEC) proposes to amend Regulation Systems Compliance and Integrity (Reg SCI) to update and expand the regulatory oversight of the core technology of the U.S. securities markets.1 The...more

Central Bank’s Securities Markets Risk Outlook Report, Supervisory Priorities for 2023 and Key Areas of Focus for Funds and their...

Walkers on 3/9/2023

On 2 March 2023, the Central Bank of Ireland (the “Central Bank”) published its third annual Securities Markets Risk Outlook Report (the “Report”). The Report highlights the conduct risks that the Central Bank has identified...more

SEC Enforcement: 2022 Year in Review

Pillsbury Winthrop Shaw Pittman LLP on 1/30/2023

On the heels of record-breaking enforcement in 2022, expect continued aggressive pursuit of Chair Gensler’s priorities in 2023. The SEC will continue to bring its considerable resources to bear to address ESG-related...more

NAIC Report - 2022 Fall National Meeting

Eversheds Sutherland (US) LLP on 1/27/2023

The National Association of Insurance Commissioners (NAIC) held its 2022 Fall National Meeting from December 12-16 in Tampa, Florida. The agenda for this National Meeting was limited, with a number of NAIC working groups...more

A Slow Road Ahead? A Hart-Scott-Rodino Act Transaction Update (December FY 2023)

HaystackID on 1/6/2023

Editor’s Note: The Hart Scott Rodino Act (HSR Act) is a federal law that requires companies planning to merge or acquire certain assets or voting securities to notify the Federal Trade Commission (FTC) and the Department of...more

Risk Factor Considerations In The Time Of COVID-19

Fox Rothschild LLP on 6/5/2020

In Quarterly Reports on Form 10-Q, companies are required to disclose any material changes to risk factors that were included in their most recent Annual Report on Form 10-K. Many companies do not update risk factors in...more

Financial Regulatory Developments Focus - December 2018

A&O Shearman on 12/18/2018

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

SEC Enforcement Division Releases 2018 Annual Report

Dechert LLP on 12/7/2018

On November 2, 2018, the SEC Enforcement Division (“Division”) released its Annual Report summarizing the past year’s enforcement activity. In the 2018 fiscal year, the first full fiscal year that Stephanie Avakian and Steven...more

CFTC and SEC continue their efforts to regulate virtual currencies and Blockchain-based smart contracts

Eversheds Sutherland (US) LLP on 12/6/2018

For those longing for the heady days of the cryptocurrency free-for-all, this November is proving to be the start of the winter of your discontent. The US Commodity Futures Trading Commission (CFTC) and the US Securities and...more

In Case You Missed It - Interesting Items for Corporate Counsel - May 2018

Stoel Rives LLP on 9/14/2018

Pay equity advocates were undoubtedly disappointed that inaugural disclosure of the ratio of CEO pay to median employee pay fizzled. See, for example, here. CEO pay has, of course, been publicly disclosed forever; only the...more

The Perils of Well-Intentioned Deception: Insider Trading Case Highlights Challenges Facing Public Companies

Jones Day on 7/16/2018

The Situation: Despite Equifax's use of a cover story to keep employees from learning it was the victim of a serious data breach, a then-employee allegedly figured it out and made illegal securities trades based on the...more

Financial Regulatory Developments Focus - July 2018 #2

A&O Shearman on 7/12/2018

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

Europe Insights

Skadden, Arps, Slate, Meagher & Flom LLP on 1/26/2018

Despite a year of continued global political uncertainty and increasing enforcement, shareholder activism and foreign investment control activity, the 2018 outlook for Europe is positive overall. Skadden partners in the U.K.,...more

WSGR Fintech Update - October 2017

Wilson Sonsini Goodrich & Rosati on 10/4/2017

Wilson Sonsini Goodrich & Rosati is pleased to present the October 2017 issue of the WSGR Fintech Update. This latest edition features an article discussing the U.S. Securities and Exchange Commission's new "Cyber Unit"...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

Colorado’s Proposed Cybersecurity Rules for Investment Advisers and Broker-Dealers

Snell & Wilmer on 5/30/2017

Colorado has new proposed rules that add cybersecurity requirements for certain entities with Colorado securities licenses. The proposed rules are from the regulatory agency the Division of Securities. It licenses securities...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

Orrick's Financial Industry Week In Review

Orrick, Herrington & Sutcliffe LLP on 1/13/2017

Financial Industry Developments - Prohibition on Dealing or Investing in Industrial or Commercial Metals - On January 3, 2017, the Office of the Comptroller of the Currency (the "OCC") finalized a rule that...more

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Cybersecurity › Securities

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