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Results: 1-10 of 431

Investment management legal regulatory update - February 2015

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • February 26 2015

On February 9, 2015, the Securities and Exchange Commission (SEC) proposed amendments to its rules to implement Section 955 of the Dodd-Frank Wall

SEC and FINRA release publications concerning cybersecurity in brokerage and advisory firms

  • Herzog Fox & Neeman
  • -
  • USA
  • -
  • February 24 2015

On 3 February 2015, the U.S. Securities and Exchange Commission ("SEC") released publications addressing the legal, regulatory and compliance issues

U.S. regulators review brokerage cybersecurity, provide guidance

  • McCarthy Tétrault LLP
  • -
  • USA
  • -
  • February 20 2015

Earlier this month, the U.S. Securities and Exchange Commission ("SEC") and the Financial Industry Regulatory Authority ("FINRA") each released

The SEC and FINRA issue investor bulletins and reports on cybersecurity

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • February 19 2015

On February 3, 2015, the SEC and FINRA each issued investor bulletins and reports on cybersecurity - an area of concern that seems to take on added

SEC and FINRA issue results of cybersecurity examinations

  • Vedder Price PC
  • -
  • USA
  • -
  • February 18 2015

On February 3, 2015, the SEC's Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert providing summary observations derived

Regulators report on cybersecurity practices of financial services firms

  • Berger Singerman LLP
  • -
  • USA
  • -
  • February 18 2015

In February 2015, both the Securities and Exchange Commission ("SEC") and the Financial Industry Regulatory Authority ("FINRA") released reports

International regulatory update - 9 - 13 February 2015

  • Clifford Chance LLP
  • -
  • Australia, European Union, Germany, South Korea, USA
  • -
  • February 17 2015

The EU Council's Permanent Representatives Committee (COREPER) has agreed the EU Council's negotiating stance on the proposed regulation on indices

SEC sanctions Chinese accounting firms for refusal to surrender documents

  • McDermott Will & Emery
  • -
  • China, USA
  • -
  • February 13 2015

On February 6, 2015, the U.S. Securities and Exchange Commission (SEC) imposed sanctions against four China-based accounting firms for their refusal

Pension & Investments discusses cybersecurity considerations for retirement plans

  • Morgan Lewis & Bockius LLP
  • -
  • USA
  • -
  • February 13 2015

In an analysis of certain issues that intersect cybersecurity and investment management, a recent Pension & Investments (P&I) article detailed the

Financial industry backs cybersecurity, data breach notification legislation

  • Manatt Phelps & Phillips LLP
  • -
  • USA
  • -
  • February 12 2015

The financial industry has thrown its support behind data breach notification legislation as well as passage of a law that would encourage businesses