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This week at the UK regulators - 26 September 2016
  • Clifford Chance LLP
  • European Union, Hong Kong, USA
  • September 26 2016

Although no significant enforcement cases were concluded last week, the UK regulators released several consultation papers and statements. The FCA


Financial Services Update, Vol. 11, Issue 35
  • Winston & Strawn LLP
  • USA
  • September 26 2016

The Securities and Exchange Commission’s (“SEC”) Office of Compliance, Inspections and Examinations (“OCIE”) issued a Risk Alert on September 12th


New Cybersecurity Rules May Apply Imminently to a Wide Range of Financial Services Firms in New York State
  • Arnold & Porter LLP
  • USA
  • September 26 2016

On September 13, 2016, the New York State Department of Financial Services (the DFS) proposed regulations (the Proposal) that would require a broad


Community Banks - Week in Review - September 26, 2016
  • Nelson Mullins Riley & Scarborough LLP
  • USA
  • September 26 2016

Apart from the FDIC Chairman's statement last Tuesday about coming reductions in DIF assessments for most banks, the past week had little


FinTech in Canada
  • McCarthy Tétrault LLP
  • Australia, Canada, China, France, United Arab Emirates, United Kingdom, USA, Germany, Global, Hong Kong, India, Singapore, Switzerland
  • September 22 2016

So what is FinTech? The phrase “FinTech”, first coined by a New York banker in 1972, refers to the intersection of technology and Financial services


New York Releases Proposed Cybersecurity Regulations Affecting Banks, Insurers and Other Financial Services Firms
  • Mayer Brown LLP
  • USA
  • September 22 2016

The New York State Department of Financial Services (“DFS”) on September 13, 2016, proposed regulations that would mandate cybersecurity standards


12 AML Obligations Every BrokerDealer Needs to Know
  • K&L Gates
  • USA
  • September 16 2016

Since 2002, as part of their anti-money laundering (“AML”) responsibilities, brokerdealers have had a gatekeeper-like obligation to monitor


DOJ and SEC Decline FCPA Action Against California-Based Software Company
  • BuckleySandler LLP
  • USA
  • September 16 2016

On September 8, a California-based software company disclosed in its annual statement that following an investigation into its operations in Russia


"Privacy & Cybersecurity Update: New York State Proposes Cybersecurity Regulation for Financial Institutions"
  • Skadden Arps Slate Meagher & Flom LLP
  • USA
  • September 15 2016

New York state has proposed a new regulation to go into effect January 1, 2017 that would require banks, insurance companies and other financial


Privacy & Cybersecurity Update September 2016
  • Skadden Arps Slate Meagher & Flom LLP
  • USA
  • September 15 2016

New York state has proposed a new regulation to go into effect January 1, 2017 that would require banks, insurance companies and other financial