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748 results found


Katten Muchin Rosenman LLP | USA | 17 Feb 2019

California Federal Court Reverses Itself and Grants SEC Preliminary Injunction in Purported Cryptoasset Scam

A federal court in California that in November 2018 denied the Securities and Exchange Commission a preliminary injunction against defendants it


Mayer Brown | USA | 18 Jan 2019

National Futures Association Adopts Notification Requirement for Certain Cybersecurity Incidents

On January 7, 2019, the National Futures Association ("NFA") announced that it had adopted amendments to its information security requirements that


Ropes & Gray LLP | USA | 22 Mar 2018

Cybersecurity Oversight

Financial regulators continue to expand their reach in the cybersecurity space, and funds, fund sponsors, and advisers should take note. Most recently


Pillsbury | USA, United Kingdom, OECD, etc. | 12 Mar 2018

Annual Compliance Obligations What you Need to Know

This alert contains a summary of the primary annual and periodic compliance-related obligations that may apply to investment advisers registered with


Bracewell LLP | USA | 12 Mar 2018

Who Is Watching The Watchmen?: CFTC Penalizes Registrant For Outsourced IT Security Lapses

On February 12, 2018, the Commodity Futures Trading Commission (CFTC) settled charges against AMP Global Clearing LLC (AMP), a futures commission


Kramer Levin Naftalis & Frankel LLP | USA | 1 Mar 2018

Funds Talk: March 2018

On Feb. 6, Jay Clayton and Christopher Giancarlo, the chairmen of the Securities and Exchange Commission (SEC) and the Commodity Futures Trading


Sidley Austin LLP | USA | 28 Feb 2018

2018 Update for Investment Advisers Important Annual Requirements; 2018 SEC Exam Priorities; Recent SEC Enforcement Initiatives

Investment advisers registered with the Securities and Exchange Commission (SEC) (each, an RIA) are subject to certain annual requirements under the


Buckley LLP | USA | 15 Feb 2018

President Trump releases 2019 budget proposal; among the key areas of reform are appropriation shifts, cybersecurity, and financial crimes

On February 12, the White House released its fiscal 2019 budget request, Efficient, Effective, Accountable, an American Budget (2019 budget proposal)


Hunton Andrews Kurth LLP | USA | 14 Feb 2018

CFTC Brings Cybersecurity Enforcement Action

On February 12, 2018, in a settled enforcement action, the U.S. Commodity Futures Trading Commission (“CFTC”) charged a registered futures commission


Cooley LLP | USA | 11 Oct 2016

New Cybersecurity Rules for Financial Institutions

Last month, both Federal and state regulators affirmed their commitment to preventing and managing cybersecurity risk, particularly in the financial

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