News & Analysis as of August 29, 2025

General Data Protection Regulation (GDPR) › Financial Services Industry

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Follow this channel for updates and analysis on all aspects of the European Union's General Data Protection Regulation, a reform of EU's data protection rules that impacts... more +

Follow this channel for updates and analysis on all aspects of the European Union's General Data Protection Regulation, a reform of EU's data protection rules that impacts individuals throughout the Union and all businesses operating therein. less -

Right To Know - June 2025, Vol. 30

Clark Hill PLC on 6/19/2025

Cyber, Privacy, and Technology Report - Welcome to your monthly rundown of all things cyber, privacy, and technology, where we highlight all the happenings you may have missed. State Action: North Dakota Passes Law...more

US SEC Gives Green Light to Swiss-Based Investment Adviser Registration Applications

Mayer Brown on 6/11/2025

On June 10, 2025, the US Securities and Exchange Commission (SEC) announced that it will immediately resume processing new and pending registration applications of investment advisers with their principal office and place of...more

Data protection guidance for firms sharing customer information for the prevention of fraud

A&O Shearman on 1/15/2025

The UK Information Commissioner’s Office (the ICO) has published guidance to help firms take steps to protect customers’ personal information when data is shared between firms to prevent fraud and scams....more

EU: Engaging Vendors in the Financial Sector: EDPB Clarifications Mean More Mapping and Management

DLA Piper on 11/14/2024

The European Data Protection Board (“EDPB“) adopted an opinion on 7 October 2024, providing guidance for data controllers relying on processors (and sub-processors) under the GDPR....more

Zooming in on AI - #7: AI under financial regulations in the U.S., EU and U.K. - a comparative assessment of the current state of...

A&O Shearman on 10/21/2024

This is the final note in a three-part series on the regulation of artificial intelligence in the financial services sector in the United States, the European Union and the United Kingdom. Our first note, we provided a...more

Zooming in on AI - #5: AI under financial regulations in the U.S., EU and U.K. – a comparative assessment of the current state of...

A&O Shearman on 10/17/2024

Rapid and accelerating developments in artificial intelligence have prompted governments around the world to consider how AI should be regulated and used responsibly by businesses, without stifling innovation. This is...more

Cybersecurity: A Critical Element in Your 2025 Business Forecast

Wilson Sonsini Goodrich & Rosati on 10/1/2024

As cyberattacks become more sophisticated, cybersecurity remains a top concern for regulators, consumers, business partners, and investors. Weak security can cause substantial harm to a company and lead to litigation,...more

International Elections Series: An EU Election Primer — Turn Right at Brussels

Faegre Drinker Biddle & Reath LLP on 6/6/2024

The 27 member states of the European Union (EU) are holding elections for the European Parliament (EP) between June 6 and 9. European voters will elect 720 members of the European Parliament for the next five-year term....more

Website & Social Media Archiving to Comply with FINRA Books & Records Rules

Pagefreezer on 4/2/2024

Investment firms and other financial institutions are subject to the strict recordkeeping and communication regulations laid out by both the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange...more

AI Reporter - March 2024

Benesch on 3/21/2024

As Benesch’s multidisciplinary AI Commission continues to stay abreast of AI-related developments and legal implications our clients should be aware of, we are proud to debut the firm’s AI Reporter: a monthly roundup of...more

EU’s Highest Court Issues Major AI Decision With Wide-Reaching Impact

Alston & Bird on 12/20/2023

On 7 December 2023, the Court of Justice of the European Union (CJEU) issued an important decision on how the GDPR governs AI-assisted decisions. The case arose in the financial services context, with the court holding that...more

What You Should Know About the EU Digital Operational Resilience Act

Alston & Bird on 11/27/2023

The European Union’s (EU) new Digital Operational Resilience Act (DORA) will go into effect in January 2025. Our Privacy, Cyber & Data Strategy Team digs into DORA and discusses how the new law may impact businesses inside...more

Paris Litigation Gazette - Issue 4 - October 2023

BCLP on 10/25/2023

In an important judgment handed down on 29 June 2023 (Case C-211/22), the Court of Justice of the European Union (the "CJEU") ruled that a vertical agreement to fix minimum prices does not necessarily constitute a restriction...more

Brussels Regulatory Brief: August-September 2023

K&L Gates LLP on 10/2/2023

ANTITRUST AND COMPETITION - The European Commission’s Merger Simplification Package Enters Into Force - On 20 April 2023, the European Commission (Commission) adopted a new legislative package that entered into force on 1...more

AI in Europe: Road Map for Navigating the IP, Data Protection and Regulatory Considerations

Skadden, Arps, Slate, Meagher & Flom LLP on 9/19/2023

Organizations developing or using generative AI tools should implement cross-functional governance frameworks to develop and continuously monitor their use of such tools. From the earliest stages of generative AI use,...more

Why Marketing Compliance for Financial Services Is A Big Deal

Hanzo on 9/6/2023

In today's fiercely competitive business landscape, financial services companies, like their counterparts in other industries, rely on advertising and digital marketing strategies to create brand recognition, promote their...more

Upcoming EU Rules on Digital Operational Resilience

Pillsbury Winthrop Shaw Pittman LLP on 7/21/2023

There will be additional compliance obligations and mandatory contractual provisions introduced for financial entities and outsourced IT service providers. The new DORA seeks to strengthen the resilience of financial...more

European Commission Proposes New Rules on Financial Data Access and Use

Wilson Sonsini Goodrich & Rosati on 7/7/2023

On June 28, 2023, the European Commission (EC) published a Proposal for a Regulation on Financial Data Access (FIDA). FIDA aims to create a framework through which data holders (e.g., banks, credit institutions) share the...more

Messaging Compliance in a Shifting Regulatory Landscape: The Current and Shifting UK Regulatory Landscape

Thomas Fox - Compliance Evangelist on 6/28/2023

Are you ready to learn how to implement electronic communications capture and supervision in your firm for better compliance and prevention of regulatory violations? Is messaging compliance giving your compliance function...more

The listener of last resort- the FCA reflects on its approach to whistleblowers

A&O Shearman on 5/18/2023

It is well known that one of the biggest frustrations for whistleblowers is the lack of feedback. Having taken the difficult step to report wrongdoing, they are then left out of the process, and have little or no idea whether...more

AI regulation in financial services in the EU and the UK: Governance and risk-management

Hogan Lovells on 5/17/2023

Artificial intelligence (AI) and machine learning (ML) technology have started to transform financial services and bring about new business opportunities, but with risks. AI governance should be adopted by financial...more

AG CJEU addresses data subject rights and automated decision-making by credit rating agencies

A&O Shearman on 3/23/2023

The Advocate General (AG) Pikamäe of the Court of Justice of the European Union (CJEU) issued his opinions in three cases concerning the credit rating agency SCHUFA Holding AG (SCHUFA) on 16 March 2023....more

European Union Mandates IT and Cybersecurity Resilience Requirements for Investment Managers and Firms with Enactment of DORA

Akin Gump Strauss Hauer & Feld LLP on 3/2/2023

The European Union (EU) adopted Regulation (EU) 2022/2554 on digital operational resilience for the financial sector (the “DORA Regulation”) in January 2023. The DORA Regulation seeks to establish a harmonised digital...more

EU says EU-US Data Privacy Framework lacks adequate protections

Orrick, Herrington & Sutcliffe LLP on 2/17/2023

On February 14, the European Parliament’s Committee on Civil Liberties, Justice and Home Affairs released a draft motion for a resolution concerning the adequacy of protections afforded under the EU-US Data Privacy Framework....more

Exploring DORA: EU Tightens IT Security Rules for the Financial Sector, Targeting "Critical" Third-Party Providers

K&L Gates LLP on 1/17/2023

In mid-December the European Union (EU) enacted new legislation aiming at harmonizing, and tightening, information technology (IT) security rules in the financial sector: Regulation (EU) 2022/2554 on digital operational...more

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General Data Protection Regulation (GDPR) › Financial Services Industry

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