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Hedge fund report - summary of key developments - spring 2015
  • Paul Hastings LLP
  • USA
  • June 1 2015

This continues to be a time of rapid change for the hedge fund industry, as the Securities and Exchange Commission (the "SEC"), the Commodity Futures


Examination and other regulatory developments
  • Ropes & Gray LLP
  • USA
  • August 4 2015

In recent remarks, Igor Rozenblit, the head of the Private Funds Unit at the U.S. Securities and Exchange Commission (the “SEC”) urged advisers


Financial services update vol. 10, issue 21
  • Winston & Strawn LLP
  • United Kingdom, USA
  • June 15 2015

Daniel Sibears, Executive Vice President for Regulatory Operations at the Financial Industry Regulatory Authority (“FINRA”), gave a speech at a


Telephone taping and capturing electronic communications: obligations for UK firms; US implications and perspectives
  • Cadwalader Wickersham & Taft LLP
  • United Kingdom, USA
  • March 17 2008

The UK Financial Services Authority (FSA) has now published its final rules requiring certain of its authorized firms to record and keep telephone and electronic communications


Broker-dealer email systems must keep pace with firm growth, FINRA says
  • Morrison & Foerster LLP
  • USA
  • May 28 2013

A recent FINRA disciplinary action sends a strong message to broker-dealers that the development of their compliance systemsparticularly with respect


Cybersecurity issues in the financial services industry: fasten your cyber belts, it's going to be a bumpy night
  • Sutherland Asbill & Brennan LLP
  • USA
  • April 22 2014

Few topics are as hot as cybersecurity. Recent high-profile data breaches at national retailers have made cybersecurity a frequent topic on Capitol


Class action round-up - spring 2015
  • Alston & Bird LLP
  • USA
  • June 9 2015

On April 27, 2015, the U.S. Supreme Court granted certiorari in Spokeo, Inc. v. Robinssetting the stage for an important decision on whether a


Regulatory priorities corner
  • Ropes & Gray LLP
  • USA
  • August 5 2015

The following brief updates exemplify trends and areas of current focus of relevant regulatory authorities: Massachusetts Investigates


Privacy & cybersecurity update, issue 3 - October, 2014
  • Jones Day
  • Australia, Brazil, New Zealand, Russia, Taiwan, USA, Hong Kong, Ireland, Italy, Japan, Mexico, Netherlands, Canada, Chile, China, European Union, France, Germany
  • October 15 2014

On August 1, the Federal Trade Commission ("FTC") issued a report on mobile shopping applications. In it, the FTC found that such apps often fail to


Financial services report winter 2014
  • Morrison & Foerster LLP
  • USA
  • December 18 2014

The election is over, but we are still reeling from the aftermath of the November shock. We’re talking of course about North Korean Supreme Leader