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Cybersecurity › Regulatory Oversight › Anti-Money Laundering

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 -
Paul Hastings LLP

The Bybit Hack of 2025 — Potential Implications

Paul Hastings LLP on

On February 21, 2025, Dubai-based Bybit, one of the world’s leading cryptocurrency exchanges, suffered a massive security breach, resulting in the loss of approximately $1.5 billion in Ethereum (ETH). The incident, which is...more

Carlton Fields

FINRA Issues 2025 Annual Regulatory Oversight Report

Carlton Fields on

On January 28, 2025, FINRA issued its 2025 Annual Regulatory Oversight Report, providing a detailed look into FINRA’s current regulatory oversight of member firms and their registered personnel....more

McGuireWoods LLP

FINRA’s 2025 Annual Regulatory Oversight Report: Playing the Hits, With Some Important Additions

McGuireWoods LLP on

The Financial Industry Regulatory Authority’s (FINRA’s) 2025 Annual Regulatory Oversight Report provides member firms with key insights and observations from its regulatory operations programs. The report covers fixtures such...more

Eversheds Sutherland (US) LLP

Dual registrant regulatory roundup - February 2025

Eversheds Sutherland (US) LLP on

Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more

Goodwin

FINRA Publishes 2025 Annual Regulatory Oversight Report

Goodwin on

On January 28, 2025, FINRA published its 2025 Annual Regulatory Oversight Report (the “Report”) as “an up-to-date, evolving resource or library of information for firms” that highlights specific industry trends, new...more

Royer Cooper Cohen Braunfeld LLC

How the Election Shapes Your Compliance Program

Royer Cooper Cohen Braunfeld LLC on

Staying the course in compliance is crucial, especially during uncertain political times. Regulatory updates like the new AML rule and Cybersecurity can have a significant impact on your program, and it's important for...more

American Conference Institute (ACI)

[Event] 8th Forum on FinTech & Emerging Payment Systems - April 9th - 10th, New York, NY

American Conference Institute (ACI) on

ACI’s 8th Annual Legal, Regulatory, and Compliance Forum on Fintech & Emerging Payment Systems will provide in-depth guidance on the latest regulatory developments at the Federal and State Level that you need to be aware of....more

Carlton Fields

FINRA Issues 2024 Annual Regulatory Oversight Report

Carlton Fields on

FINRA issued its 2024 Annual Regulatory Oversight Report on January 9, 2024, providing a glimpse into FINRA’s current regulatory oversight of member firms and their registered personnel in 27 topic areas....more

Davis Wright Tremaine LLP

FINRA’s 2024 Annual Regulatory Oversight Report: Select Observations

Davis Wright Tremaine LLP on

FINRA recently published its 90-page 2024 Annual Regulatory Oversight Report (Report) providing member firms with insight into six primary topics: Financial Crimes, Crypto Asset Development, Firm Operations, Communications...more

Mayer Brown Free Writings + Perspectives

FINRA Releases 2023 Report on Its Examination and Risk Monitoring Program

Mayer Brown Free Writings + Perspectives on

On January 10, 2023, the Financial Industry Regulatory Authority, Inc. (“FINRA”) released its 2023 Report on FINRA’s Examination and Risk Monitoring Program (the “Report), available at:  2023 Report on FINRA’s Examination and...more

Latham & Watkins LLP

Key Regulatory Developments in Hong Kong and Singapore: September 2020

Latham & Watkins LLP on

Regulators consult on anti-money laundering guidelines and issue guidance on cybersecurity, best execution, and senior management accountability. This blog post summarizes key regulatory developments in Hong Kong and...more

Herbert Smith Freehills Kramer

OCIE Releases 2019 Examination Priorities

Herbert Smith Freehills Kramer on

The SEC’s Office of Compliance Inspections and Examinations (OCIE) released its examination priorities for 2019 in order to promote the transparency of its investigation program....more

Troutman Pepper Locke

SEC Announces 2018 National Examination Priorities

Troutman Pepper Locke on

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) recently announced its 2018 national examination priorities, which are broken down into five categories...more

Robins Kaplan LLP

Your Daily Dose of Financial News

Robins Kaplan LLP on

NYSE owner Intercontinental Exchange is looking to do the as-yet inconceivable: bring some order to cryptocurrencies. The plan, announced yesterday, is to launch a data feed that pull info from cryptocurrency exchanges around...more

Morrison & Foerster LLP

The CSBS Finalizes Model Framework for Virtual Currencies

Morrison & Foerster LLP on

On September 15, 2015, the Conference of State Bank Supervisors (“CSBS”) issued its final Model Regulatory Framework on virtual currency activities (“Final Framework”). The Final Framework follows the CSBS’s December 2014...more

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