Jun 06, 2024 The Office of the National Cyber Director Releases 2024 Report on Cybersecurity Posture By Trisha Sircar On May 7, 2024, the Office of the National Cyber Director (ONCD) released the 2024 Report on the Cybersecurity Posture of the United...
Oct 02, 2024 A Greener Tomorrow: CFTC Issues Final Guidance for Listing Voluntary Carbon Credit Derivatives By Carl Kennedy After five years of consultations, public meetings and roundtable discussions, the Commodity Futures Trading Commission (CFTC or...
Sep 25, 2024 California Governor Signs Bills to Reign in Deepfakes and AI Watermarking By Trisha Sircar On September 19, 2024, Governor Gavin Newsom of California signed three bills designed to address the ethical concerns surrounding...
Sep 25, 2024 Australia Introduces First Round of Privacy Act Reforms By Trisha Sircar On September 12, 2024, the first tranche of amendments to the Privacy Act 1988, referred to as the Privacy and Other Legislation...
Sep 25, 2024 Hackers Attack Water Treatment Plant in Arkansas City Prompting Federal Investigation By Trisha Sircar On September 22, 2024, Arkansas City was hit by a cyberattack at its water treatment facility. The Federal Bureau of Investigation and...
Sep 24, 2024 FCA Consults on Guidance for UK Trade Repositories’ UK EMIR Reporting Requirements By Carolyn Jackson Ciara McBrien On 4 September, the Financial Conduct Authority (FCA) published a website seeking feedback (Consultation) on draft questions and answers...
Sep 16, 2024 UK Parliament Introduces Bill Categorising Certain Digital Assets as “Personal Property” By Carolyn Jackson Nathaniel Lalone Neil Robson Christopher Collins Ciara McBrien Sara Portillo +3 more... Show less On 11 September 2024, the Property (Digital Assets etc) Bill (Bill) was introduced to the House of Lords and received its first reading....
Sep 12, 2024 Managing Distressed Situations as an Investment Banker: A Conversation With Sandy Prabhakar By Paul Musser In the latest TMA Chicago Midwest Podcast episode, I sat down with Sandy Prabhakar, Managing Director at Armory. As an investment banker,...
Sep 05, 2024 CFTC’s Uniswap Settlement Sparks Debate on DeFi Regulation By Dan Davis Alex Kim The Commodity Futures Trading Commission (CFTC) continues to expand its regulatory reach in the decentralized finance (DeFi) space, this...
Sep 05, 2024 FinCEN Adopts Final Rule: AML Programs for Investment Advisers By Adam Bolter On August 28, the US Department of the Treasury’s (Treasury Department) Financial Crimes Enforcement Network (FinCEN) issued a final rule...
Aug 29, 2024 FCA Proceeds with the ‘New’ Option for Investment Research Payments By Neil Robson Christopher Collins Ciara McBrien Sara Portillo +1 more... Show less The Financial Conduct Authority (FCA) has recently published its Policy Statement on Payment Optionality for Investment Research...
Aug 19, 2024 ESG Corporate Reporting Requirements - Don’t miss the deadline to comply! By Neil Robson Brigitte Weaver Christy Wilson The new Corporate Sustainability Reporting Directive the “CSRD” was adopted by the EU in April 2021 to meet its Paris Agreement climate...
Aug 16, 2024 SEC Scrutiny into Cash Sweep Programs: What Investment Advisers Need to Know By Michael Diver Susan Light Wayne Aaron Lindsey Smith David Luger David Goldberg +3 more... Show less In recent years, the US Securities and Exchange Commission (SEC) has initiated several probes into how advisory firms manage their cash...
Aug 15, 2024 Crypto Compliance in Focus: FINRA Unveils Key Insights on Member Firms’ Digital Asset Activities By Susan Light James Brady Alex Kim The Financial Industry Regulatory Authority (FINRA) released a comprehensive update on its insights into its member firms’ involvement in...
Aug 14, 2024 FTC Finalizes Rule Banning Fake Reviews By Chris Cole The FTC has finalized its new rule banning fake consumer reviews. The rule, which will become effective in October, prohibits selling or...
Aug 12, 2024 Court Denies SEC’s Request for Disgorgement in Ripple Case By Dan Davis Alex Kim In a setback to the Securities and Exchange Commission’s (SEC) crypto enforcement efforts, a federal court has denied the agency’s...
Aug 09, 2024 (mis)Conduct, Money & Reputation: A Look at Equifax, CrowdStrike & Cybersecurity By Katten Muchin Rosenman LLP Cybersecurity continues to dominate headlines, concern investors and have substantial and very real implications for asset and wealth...