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|FINRA, SEC Renew Focus on Senior Investors in Immediate Aftermath of FINRA Submission of Proposed Rulemaking to SEC|
Bruce M. Bettigole, Clifford E. Kirsch, Brian L. Rubin, Sarah Razaq Sallis, Holly H. Smith; Sutherland Asbill & Brennan LLP;
October 25, 2016, previously published on October 25, 2016On October 22-23, members of the securities industry, academia, regulators, and public policy experts gathered in Washington, D.C., at the joint Financial Industry Regulatory Authority (FINRA) and Securities Industry and Financial Markets Association (SIFMA) Senior Investor Protection Conference....
|Cyber Risk Management - G7 Cybersecurity Guidelines For The Financial Sector|
Bradley J. Freedman; Borden Ladner Gervais LLP;
October 25, 2016, previously published on October 17, 2016On October 14, 2016, the Government of Canada announced its endorsement of the G7 Fundamental Elements of Cybersecurity for the Financial Sector guidelines adopted by the Group of Seven ("G7") to assist financial sector entities to design and implement a suitable cybersecurity strategy...
|Recently Issued Accounting Standards - The SEC’s View on Disclosure|
Greenberg Traurig LLP;
October 20, 2016, previously published on October 17, 2016The SEC staff recently addressed best practices for financial statement disclosure in periods leading up to the adoption of recently issued accounting standard updates, or ASUs. In particular, the SEC staff commented on the application of Staff Accounting Bulletin (SAB) Topic 11.M “Disclosure...
|U.S. Government Designates an International Payments Processing Network as Specially Designated Nationals, Continuing its Aggressive Use of Targeted Sanctions Against Non-U.S. Financial Firms that Allegedly Facilitate Unlawful Business Activities|
Carl A. Fornaris, Sandra K. Jorgensen, Renee A. Latour; Greenberg Traurig, LLP;
October 17, 2016, previously published on October 12, 2016On Sept. 22, 2016, the U.S. Department of the Treasury through its Office of Foreign Assets Control (OFAC) imposed sanctions against the PacNet Group (PacNet), a Canada-based international payments processor and money services business, and the entire PacNet operation, including a global network of...
|New Regulations in Japan Concerning Margin
Requirements on Uncleared OTC Derivatives|
Makoto Koinuma, Koichiro Ohashi; Greenberg Traurig Horitsu Jimusho;
October 12, 2016, previously published on October 10, 2016Following the publication of the final report by the Basel Committee on Banking Supervision (BCBS) and the International Organization of Securities Commission (IOSCO) in September 2013,1 which sets forth key principles for margin requirements for uncleared derivatives, the Financial Services Agency...
|The Federal Reserve’s Proposed Rollback of Physical Commodities Authority for Financial Holding Companies|
Scott A. Cammarn, Jacob Dachs, Athena Yvonne Eastwood, Paul J. Pantano, Vanessa Tanaka; Cadwalader, Wickersham & Taft LLP;
October 6, 2016, previously published on September 29, 2016On September 23, 2016, the Board of Governors of the Federal Reserve System (the “FRB”) issued a proposed regulation concerning the ability of a financial holding company (“FHC”)1 to engage in physical commodities activities (the “Commodities Proposal”). The...
|First-Ever: Cybersecurity Regulations Released by New York Department of Financial Services|
Duane Morris LLP;
October 5, 2016, previously published on September 16, 2016After surveying nearly 200 of its regulated banking and insurance companies for industry insight, the New York Department of Financial Services (the “NYDFS”) proposed a first-ever, cybersecurity regulation, on September 13, 2016, to protect against the growing threat of cyber-attacks....
|Third Circuit Rules That Private Equity Fund and Portfolio Company Are Not a “Single Employer” for Purpose of WARN Act Liability|
Mark G. Douglas, Timothy (Tim) Hoffmann; Jones Day;
September 30, 2016, previously published on September/October 2016As private equity funds increasingly decide to participate actively in the affairs and management of their portfolio companies, recent court rulings suggest that funds may face greater exposure to liability for a portfolio company’s obligations. For example, in 2013, the First Circuit Court...
|New York Proposes First-Ever Cybersecurity Regulation for Financial Institutions|
Cynthia J. Larose, Natalie Prescott; Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.;
September 26, 2016, previously published on September 19, 2016The New York Department of Financial Services recently announced a new proposed rule, which would require financial institutions and insurers to implement strong policies for responding to cyberattacks and data breaches. Specifically, the rule would require insurers, banks, and other financial...
|Cyber Risk Management - New York State Regulation for Financial Institutions|
Bradley J. Freedman; Borden Ladner Gervais LLP;
September 26, 2016, previously published on September 16, 2016On September 13, 2016, the New York State Department of Financial Services published for comment a proposed cybersecurity regulation for the financial industry. The regulation provides important, detailed guidance for all organizations to help manage cyber risks.