US regulators have increased their focus on cybersecurity issues impacting financial services companies, with a host of guidance documents recently released by the US Securities and Exchange Commission (SEC), the three...more
The Morgan Lewis Year in Review highlights key US Securities and Exchange Commission (the SEC or the Commission) and Financial Industry Regulatory Authority (FINRA) enforcement and examination developments, and cases...more
8/19/2020
/ American Depository Receipts (ADRs) ,
BSA/AML ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Transactions ,
Investment ,
Investment Adviser ,
Investment Companies ,
Investment Management ,
RMBS ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Suspicious Activity Reports (SARs)
The Morgan Lewis Year in Review highlights key US Securities and Exchange Commission (the SEC or the Commission) and Financial Industry Regulatory Authority (FINRA) enforcement and examination developments, and cases...more
2/27/2020
/ American Depository Receipts (ADRs) ,
Anti-Money Laundering ,
Broker-Dealer ,
BSA/AML ,
Cooperative Compliance Regime ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Fraud ,
Insider Trading ,
Investment ,
Investment Management ,
Money Laundering ,
Municipal Bonds ,
Mutual Funds ,
Regulation SCI ,
Regulation SHO ,
Securities and Exchange Commission (SEC) ,
UGMA
A working group composed of the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, the National Credit Union Administration, the Office of the Comptroller of the Currency, and the US...more
The Federal Reserve Board’s proposed Bank Holding Company Act and Home Owners’ Loan Act control regulations, published in late April, are the culmination of a long-promised initiative by Board officials to bring clarity to a...more
The Consumer Financial Protection Bureau (CFPB, the Bureau) issued a Notice of Proposed Rulemaking (the Proposal) to establish implementing regulations for the Fair Debt Collection Practices Act (FDCPA). Although it has been...more
The SEC continues to focus on cybersecurity as an area of concern within the investment management industry....more