Technological advances, especially in Artificial Intelligence and quantum computing, will continue to amaze in the coming years. They will open up vast new opportunities while presenting profound regulatory, litigation, and...more
3/1/2024
/ Artificial Intelligence ,
Business Losses ,
Consumer Financial Protection Bureau (CFPB) ,
Coronavirus/COVID-19 ,
Cyber Crimes ,
Cybersecurity ,
Data Breach ,
Data Privacy ,
Enforcement Actions ,
Federal Trade Commission (FTC) ,
Financial Services Industry ,
NAIC ,
Popular ,
Securities and Exchange Commission (SEC) ,
State Privacy Laws ,
Technology ,
Website Design ,
Websites
US financial services regulators are continuing to enhance cyber reporting requirements in response to increasing geopolitical tensions, emerging technologies, the proliferation of cyber-attacks, and larger market events....more
4/28/2023
/ Broker-Dealer ,
CFTC ,
Cyber Attacks ,
Cyber Threats ,
Cybersecurity ,
Financial Regulatory Agencies ,
Financial Services Industry ,
Personal Data ,
Publicly-Traded Companies ,
Regulation S-P ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Sensitive Personal Information
The Securities and Exchange Commission (SEC) has joined a host of other regulators in doubling down on efforts to protect against the rapidly intensifying cyber threats - with important implications for all SEC-registered...more
In this Bottom Line videocast, Issa Hanna and Pooja Kohli discuss what to expect in 2020 on standard of conduct developments for broker-dealers and investment advisers, including:
Anticipated developments relating to the...more
2/20/2020
/ Asset Management ,
Broker-Dealer ,
Duty of Care ,
Fiduciary Duty ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Management ,
Regulation Best Interest ,
Securities and Exchange Commission (SEC) ,
Securities Regulation