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Searching Content indexed under Security by Kramer Levin Naftalis & Frankel LLP ordered by Published Date Descending.
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1
Quelques propos de démystification sur le Cloud Act
Paris partner Gilles Kolifrath and counsel Eric David authored an article titled "Quelques propos de démystification sur le Cloud Act," which appeared in French publication Option Finance on Feb. 4, 2019.
France
20 Feb 2019
2
Artificial Intelligence In Financial Services: Tips For Risk Management
Technology is rapidly changing the way investment advisers deliver services to their clients.
United States
6 Feb 2019
3
Cybersecurity Update: 2018 — A Year In Review
This Update highlights key legal and policy developments in cybersecurity and privacy law that may impact important trends for 2019 and beyond.
United States
31 Jan 2019
4
ESMA And EBA Assess Whether Crypto-Assets Are Regulated Under Existing EU Rules And Advise The European Commission To Consider An EU-Level Regulation
On Jan. 9, 2019, both the European Securities and Markets Authority (ESMA) and the European Banking Authority (EBA) published a report on crypto-assets.
United States
29 Jan 2019
5
Digitalization And The Challenge Of KYC For Financial Institutions
Procedures of due diligence are an essential part of compliance programs.
France
22 Jan 2019
6
Funds Talk: November 2018
Legal commentary on the news and events that matter most to alternative asset managers and funds.
United States
6 Nov 2018
7
SEC Report Warns Of Potential Internal Controls Enforcement Actions Against Cyber Fraud Victims
On Oct. 16, the Securities and Exchange Commission (SEC) issued an investigative report warning that public companies victimized by cyber fraud could also face enforcement action for violating federal securities laws by failing to maintain sufficient internal accounting controls.
United States
25 Oct 2018
8
SEC, FINRA Target ICOs, Cybersecurity, Secondary Market Trading In 2018 Examination Priorities
Many of the areas they highlighted will directly affect the alternative investment sector, and private fund advisers and securities firms should pay particular attention to their activities in such areas.
United States
2 Mar 2018
9
SEC Guidance Focuses On Cybersecurity Procedures And Disclosure Issues
The SEC's latest guidance addresses in greater detail two additional topics: the importance of cybersecurity policies and procedures and the application of insider trading prohibitions in the cybersecurity context.
United States
2 Mar 2018
10
Retail Investors, Cybersecurity On The Agenda For SEC Investor Advisory Committee Meeting On Dec. 7
Cybersecurity and various issues related to retail investors will be discussed at the Dec. 7 meeting of the SEC's Investor Advisory Committee.
United States
5 Dec 2017
11
SEC Officials Detail Future Enforcement Priorities
Clayton stated that cybersecurity and cyber crimes present a significant and increasing risk to investors and the market in general, adding that enhanced disclosure could help to ameliorate that risk.
United States
23 Nov 2017
12
SEC Report Highlights Financial Firms' Cybersecurity Improvements And Shortcomings
OCIE also found that some firms lacked procedures needed to address Regulation S-P, which governs the privacy of consumer financial information.
United States
23 Nov 2017
13
Funds Talk: November 2017
SEC chairman emphasizes focus on individual accountability and cybersecurity as key themes in regulatory approach to financial markets.
Worldwide
22 Nov 2017
14
Fed, CFTC Concerned With Cyber Risks In Wake Of SEC Hack
Federal Reserve Governor Jerome Powell and CFTC Chairman Christopher Giancarlo both cited cybersecurity as a fundamental risk point for the financial sector during a discussion at George Washington University Law School.
United States
18 Oct 2017
15
SEC Chairman Issues Cybersecurity Statement After Edgar System Hack
Data collection, storage, analysis, availability and protection (including security, validation and recovery) have become fundamental to the function and performance of our capital markets...
United States
4 Oct 2017
16
SEC Announces Creation Of Cyber Unit, Retail Strategy Task Force
The SEC announced the creation of a Cyber Unit and the establishment of a retail strategy task force, the latest initiatives in the Enforcement Division's efforts to address cyber-based threats and protect retail...
United States
4 Oct 2017
17
NYDFS Cybersecurity Rules Gain Effect
The New York Department of Financial Services issued a reminder to all covered entities that its cybersecurity regulation took effect on Aug. 28, 2017.
United States
5 Sep 2017
18
OCIE Highlights Areas For Firms To Improve Cybersecurity Practices
The SEC's Office of Compliance Inspections and Examinations issued a risk alert outlining observations related to the cybersecurity practices observed during the course of its examinations.
United States
23 Aug 2017
19
SEC Report Highlights Financial Firms' Cybersecurity Improvements And Shortcomings
This alert examines the Securities and Exchange Commission's Office of Compliance Inspections and Examinations' Risk Alert, which summarizes the results of its second cybersecurity preparedness examination.
United States
17 Aug 2017
20
Christopher Hetner To Continue As Senior SEC Cybersecurity Advisor
The SEC announced Christopher R. Hetner will continue to serve as senior advisor for cybersecurity policy to Chairman Jay Clayton.
United States
2 Aug 2017
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