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Allen Matkins

What Doesn't The DFPI Regulate?

Allen Matkins on

In the mid 1990s, I had the privilege of serving as Commissioner of Corporations for the State of California.  At that time, the DOC was known as a tough securities regulator.  However, the times they were a changin'.  In...more

McGlinchey Stafford

SAFER Act: Marijuana May Soon Become a Bigger Deal

McGlinchey Stafford on

Proponents of marijuana reform have had cause for celebration in 2023. Despite challenges facing the industry, the political and social momentum surrounding cannabis is ticking upward. Most recently, the marijuana industry...more

White and Williams LLP

India’s New Restrictions Will Impact Responses to NYDFS’ Demand for COVID-19 Preparedness and Financial Risks Plans

White and Williams LLP on

We previously wrote about the New York Department of Financial Services (NYDFS) demand that all regulated companies file descriptions of their preparedness plans, financial risk management plans and assessments, in connection...more

Foley & Lardner LLP

NY Financial Services Companies’ 2017 Resolution: Cybersecurity

Foley & Lardner LLP on

The New York State Department of Financial Services (DFS) made headlines back in late September with a “first-in-the-nation” piece of legislation aimed at mandating specific cybersecurity protocols for banks, insurance...more

Cadwalader, Wickersham & Taft LLP

UK Financial Conduct Authority Issues Final Rules Concerning Whistleblowers

On October 6, 2015, the UK Financial Conduct Authority (“FCA”) issued final rules formalizing whistleblower procedures to be implemented by certain banks, building societies, credit unions, investment firms, and insurance and...more

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