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Results: 1-10 of 26

Financial services update July 21 2014 industry news

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • July 21 2014

On July 18th, Risk.net recounted former SEC Chair Harvey Pitt's proposal for resolving concerns that U.S. firms are avoiding U.S. oversight of their

Industry experts warn of rising cyber security threats for financial institutions in the wake of major data breach

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • June 25 2014

Industry experts are warning of an increase in cyber attacks on Hedge Funds in the wake of a major data breach recently reported by CNBC and verified

Financial services update May 5 2014 insights

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • May 5 2014

In March, the Securities and Exchange Commission ("SEC") issued guidance regarding the testimonial rule under the Investment Advisers Act of 1940, as

Financial services update April 28 2014 insights

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • April 28 2014

This week's newsletter highlights recent developments in United Kingdom regulatory bodies, and contains staff guidance from the SEC concerning

Financial services update April 21 2014 Securities and Exchange Commission

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • April 21 2014

On April 16th, the SEC voted to propose new rules for security-based Swap Dealers and major security-based swap market participants. The proposed

SEC (OCIE) cybersecurity initiative

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • April 18 2014

The Securities and Exchange Commission's ("SEC") Office of Compliance Inspections and Examinations ("OCIE") recently issued a National Exam Program

Financial services update April 8 2014 industry news

  • Winston & Strawn LLP
  • -
  • China, USA
  • -
  • April 8 2014

On April 4th, Reuters reported that the China Banking Regulatory Commission (CBRC) will conduct regional and national stress tests on banks. The

Financial services update March 31 2014 insights

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • March 31 2014

The impact of technology on financial services, markets, and regulation was much in the news last week. Concerns included cyber security and the use

Financial services update March 24 2014 industry news

  • Winston & Strawn LLP
  • -
  • European Union, Japan, USA
  • -
  • March 24 2014

New York Attorney General Decries High-Speed Trading. On March 18th, New York Attorney General Eric Schneiderman called for tougher regulations and

FINRA notifies members of cyber-security sweeps

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • February 26 2014

The Financial Industry Regulatory Authority, Inc. (FINRA) recently notified its members that it is conducting targeted exams, known as sweeps, that