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Cybersecurity › Financial Services Industry › Compliance

Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk... more +
Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk management, global regulations, data protection, leaks, hacking, cyber insurance, compliance, HIPAA, and every other aspect of cybersecurity of import to corporate readers right now.   less -
Skadden, Arps, Slate, Meagher & Flom LLP

The Last Piece of DORA Falls Into Place: 10 Lessons From the First Six Months

Skadden, Arps, Slate, Meagher & Flom LLP on

- What is new: The EU’s Delegated Regulation on Subcontracting has come into force, completing the legal framework of the Digital Operational Resilience Act (DORA). Attention will now turn to enforcement. - Why it matters:...more

ArentFox Schiff

Have You Enrolled in EDGAR Next? Enrollment Deadline Approaching

ArentFox Schiff on

In September 2024, the US Securities and Exchange Commission (SEC) adopted rule changes to its Electronic Data Gathering, Analysis, and Retrieval (EDGAR) file access and account management system (EDGAR Next), which went into...more

American Conference Institute (ACI)

[Webinar] Top 5 Game-Changing Regulatory Shifts Impacting Financial Compliance and Board Accountability - September 24th, 1:00 pm...

American Conference Institute (ACI) on

Don’t miss this complimentary webinar spotlighting the five most pressing regulatory developments reshaping compliance in Canada’s financial sector. From board-level liability, to shifting enforcement priorities, get up to...more

A&O Shearman

EU Delegated Regulation on threat-led penetration testing published in OJ

A&O Shearman on

Commission Delegated Regulation (EU) 2025/1190 of 13 February has been published in the Official Journal of the European Union. The Delegated Regulation supplements the Digital Operational Resilience Act (DORA) with regard to...more

Thomas Fox - Compliance Evangelist

#Risk New York Speaker Series – Bridging the Gap: Effective Risk Communication in Compliance with Rob Clark, Jr.

Thomas Fox - Compliance Evangelist on

Join Tom Fox and hundreds of other GRC professionals in the city that never sleeps, New York City, on July 9 & 10 for one of the top conferences around, #Risk New York. The current US landscape, shaped by evolving policies,...more

Thomas Fox - Compliance Evangelist

#Risk New York Speaker Series – Inside Behavioral Insights: Tom Hardin on Compliance at #RiskNYC

Thomas Fox - Compliance Evangelist on

Join Tom Fox and hundreds of other GRC professionals in the city that never sleeps, New York City, on July 9 & 10 for one of the top conferences around, #Risk New York. The current US landscape, shaped by evolving policies,...more

NAVEX

A Call to Do Better at Vendor Security Risks

NAVEX on

Technology vendors everywhere want to serve big Wall Street banks, so when one of those banks talks about risks they see in their software supply chain, compliance and audit professionals should listen – which brings us to an...more

Troutman Pepper Locke

AI Legislation: The Statewide Spotlight - Regulatory Oversight Podcast

Troutman Pepper Locke on

Join us for a special crossover episode of The Consumer Finance Podcast and Regulatory Oversight, where Chris Willis, Kim Phan, and Gene Fishel delve into the evolving world of state AI legislation. As AI becomes a pivotal...more

A&O Shearman

Operational resilience in banking: from regulatory compliance to strategic priority

A&O Shearman on

As regulatory frameworks tighten and cybersecurity threats grow in complexity, operational resilience is, now more than ever, a boardroom challenge for banks....more

Davis Wright Tremaine LLP

Deadline Approaching: Covered Entities Must File Certifications of Compliance With Amended NYDFS Cyber Regulation by April 15

Davis Wright Tremaine LLP on

In November 2023, the New York Department of Financial Services (NYDFS) issued its second amendment to its "Cybersecurity Requirements for Financial Services Companies (the Cybersecurity Regulation or Part 500). This was the...more

Thomas Fox - Compliance Evangelist

Innovations in Compliance: Data Collection & Cybersecurity with ModeOne’s Matt Rasmussen and Ryan Frye

Thomas Fox - Compliance Evangelist on

Innovation comes in many areas, and compliance professionals need to be ready for it and embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning...more

Integreon

DORA Compliance Part 1: Proactively Meeting DORA Supply Chain Resilience Obligations

Integreon on

Introduction to DORA and its Implications - As of Jan.17, 2025, the European Union’s Digital Operational Resilience Act (DORA) became enforceable. This new regulatory framework significantly impacts financial institutions and...more

Husch Blackwell LLP

Deadline Ahead: NYDFS Compliance Notifications are due by April 15

Husch Blackwell LLP on

Businesses that are subject to the NYDFS Cybersecurity Regulations have four weeks left to submit their annual notices of compliance or acknowledge their noncompliance. When the regulations were amended in 2023, several of...more

Walkers

Enhanced Cayman Islands licensing framework for virtual asset custody providers and trading platform operators takes effect from 1...

Walkers on

With effect from 1 April 2025, the licensing regime under the VASP Act will be implemented, requiring those providing virtual asset custody services or operating virtual asset trading platforms to obtain a licence under the...more

Davis Wright Tremaine LLP

PCI SSC Clarifies Obligations for Ecommerce Merchants That Outsource Payment Card Processing

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The Payment Card Industry Security Standards Council (PCI SSC) has issued an FAQ for ecommerce merchants that outsource their payment card processing to a vendor using an embedded payment page or form (such as an "iframe")....more

Levenfeld Pearlstein, LLC

M&A Trends in 2025: What Professional Service Firms Need to Know Before Selling

Levenfeld Pearlstein, LLC on

Professional services firms remain highly sought after by private equity (PE) investors. As of February 2025, the M&A landscape is showing promising signs of resurgence, with expectations of increased deal activity throughout...more

HaystackID

Rising Cyber Threats in Europe’s Financial Sector: An ENISA Overview

HaystackID on

Between January 2023 and June 2024, cyber threats targeting Europe’s financial sector escalated, posing risks to banks, financial service providers, and regulatory bodies. According to the ENISA Threat Landscape: Finance...more

Harris Beach Murtha PLLC

May 1 Deadline for Amendments to NY Department of Financial Services Cybersecurity Standard

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New York State’s Department of Financial Services is warning all regulated entities has released a Cybersecurity Regulation Updates and Reminder warning all companies that all regulated entities without a full exception that...more

A&O Shearman

European Central Bank updates TIBER-EU framework to align with DORA RTS on TLPT

A&O Shearman on

The European Central Bank (ECB) has published an updated version of the threat intelligence-based ethical red teaming framework (TIBER-EU framework) (dated January) to align with the Digital Operational Resilience Act (DORA)...more

Tonkon Torp LLP

What the SEC Amendments to Regulation S-P Mean for Your Business

Tonkon Torp LLP on

On May 16, 2024, the SEC adopted amendments to Regulation S-P requiring broker-dealers, registered investment companies, registered investment advisers, funding portals, and transfer agents (collectively, “covered...more

Tannenbaum Helpern Syracuse & Hirschtritt LLP

SEC 2025 Exam Priorities and Considerations for the New Administration

Tannenbaum Helpern Syracuse & Hirschtritt LLP on

On October 21, 2024, the Securities and Exchange Commission’s (the “SEC”) Division of Examinations (the “Division”) published its examination priorities for 2025. The published priorities inform SEC registrants, investors,...more

Morrison & Foerster LLP

Top 5 SEC Enforcement Developments for December 2024

Morrison & Foerster LLP on

Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. This month, we examine: •Insider trading charges against a professor overseeing...more

Wilson Sonsini Goodrich & Rosati

DORA: New EU Cybersecurity Requirements for the Financial Sector Enter into Force

Wilson Sonsini Goodrich & Rosati on

Starting January 17, 2025, the Digital Operational Resilience Act (DORA) will require financial entities and their critical information and communication technology (ICT) service providers to comply with enhanced...more

Goodwin

Entry into force of DORA on January 17, 2025: The CSSF will be at the heart of the compliance framework in Luxembourg

Goodwin on

Digital Operational Resilience Act (DORA) aims to harmonize provisions related to cybersecurity and information and communication technology (ICT) risk management in the financial sector. Its scope covers nearly all entities...more

Jones Day

Understanding DORA: Digital Operational Resilience Act Now in Effect for Financial Entities and ICT Service Providers

Jones Day on

DORA, the first EU regulation designed to establish a unified and robust digital resilience standard for the financial sector, becomes directly applicable on January 17, 2025, introducing significant penalties and...more

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