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Results: 1-10 of 1,597

Financial regulators continue focus on cybersecurity; CFTC joins the chorus
  • Sidley Austin LLP
  • USA
  • September 9 2015

Cybersecurity attacks have increasingly garnered significant attention this summerand financial regulators are taking notice and taking action


European Securities and Markets Authority Consults on Revised Standards for Data Access under EMIR
  • Shearman & Sterling LLP
  • European Union
  • December 16 2015

On December 11, 2015, ESMA launched a consultation on revised RTS on data access and operational standards for comparison and aggregation of data


National Futures Association proposes cybersecurity guidance for NFA Member firms
  • Morgan Lewis & Bockius LLP
  • USA
  • September 8 2015

The National Futures Association (NFA) has proposed cybersecurity requirements that, if adopted, will apply to firms that are NFA Membersa category


Inspector General Says CFTC Should Test FCMs’ and SDs’ Cybersecurity Policies
  • Katten Muchin Rosenman LLP
  • USA
  • December 4 2016

The Office of Inspector General of Commodity Futures Trading Commission's said the agency's Division of Swap Dealer and Intermediary Oversight should


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


EU & Competition Law Review 8 December 2016
  • Roschier
  • European Union
  • December 8 2016

On 6 December 2016, the Commission conditionally approved the proposed acquisition of LinkedIn by Microsoft. Microsoft and LinkedIn are mainly active


Electronic discovery & information governance - tip of the month: strategies for the preservation and production of audio recordings
  • Mayer Brown LLP
  • USA
  • April 30 2015

A large financial institution that is a major participant in the swaps market instituted an audio Data Retention policy to conform with newly enacted


The Financial Report March 24, 2016 - US Exchanges and Self-Regulatory Organizations
  • DLA Piper LLP
  • USA
  • March 24 2016

The Financial Industry Regulatory Authority released a report that outlines the regulatory principles and best practices for digital advice services


ESMA reports on EMIR data access standards
  • Dentons
  • European Union
  • April 8 2016

ESMA has published its final report and RTS on access to data and aggregation and comparison of data across trade repositories (TRs) under EMIR


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