Searching Content indexed under Security by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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NFA Charges Introducing Broker/CTA For Recordkeeping, Reporting And Marketing Violations
NFA charged an introducing broker ("IB") and its former sole principal with failing to properly maintain books and records
United States
30 Sep 2019
Treasury Deputy Secretary Cites Recent Developments
U.S. Treasury Deputy Secretary Justin Muzinich highlighted recent developments in housing finance reform, Committee on Foreign Investment in the United States
United States
30 Sep 2019
Cabinet Offers Topic Page On Cybersecurity And Data Protection Regulation (Video)
The Cybersecurity and Data Protection page helps financial institutions keep current on evolving legal and regulatory issues.
United States
16 Aug 2019
NASAA Regulators Target Crypto-Related Fraud
NASAA also stated it is releasing a new video for retail investors on common crypto investment schemes and how to guard against them.
United States
9 Aug 2019
New York State Governor Signs Bills Expanding Data Breach Notification Requirements
On Friday, July 26, 2019, New York Governor Andrew Cuomo signed two bills into law designed to enhance cybersecurity protections for New York residents. The legislation updates New York's
United States
9 Aug 2019
CFTC Updates Data Catalogue Pursuant To Data Protection Initiative
The CFTC finished updating its data catalogue, completing the first of five steps under its Data Protection Initiative.
United States
23 Jul 2019
IOSCO Urges Member Jurisdictions To Use Internationally Recognized Cyber Regulation Frameworks
IOSCO urged member jurisdictions to continue using internationally recognized cyber regulation frameworks (the "Core Standards").
United States
2 Jul 2019
CFTC Inspector General Urges Agency To Address Deficiencies In Data Governance Program
The CFTC Office of the Inspector General highlighted deficiencies in the agency's Data Governance program and advised the CFTC to improve its Integrated Surveillance System platform or transfer to a better platform.
United States
27 Jun 2019
Hackers Steal Bitcoin From Global Cryptocurrency Exchange
Binance, a global cryptocurrency exchange, reported a security breach on May 7, 2019, in which hackers seized over 7,000 bitcoin (approximately $41 million) in a single transaction.
United States
31 May 2019
FINRA Outlines Steps Firms May Take To Address Imposter Websites
FINRA outlined various steps broker-dealers may take to monitor and respond to the increasing frequency of imposter websites created to defraud clients.
United States
14 May 2019
NFA Reminds Members Of Effective Date For Amendments To Cybersecurity Requirements
The NFA reminded members that April 1, 2019 is the effective date for amendments to the Interpretive Notice relating to information systems security programs ("ISSP").
United States
21 Mar 2019
NFA Amends Cybersecurity Requirements
The NFA amended an Interpretive Notice (the "Notice") on Information Systems Security Program ("ISSP") requirements.
United States
14 Jan 2019
NY Fed Executive VP Discusses State Of Cyber Resilience And Endpoint Security
The Federal Reserve Bank ("FRB") of New York Executive Vice President Richard Dzina discussed the current state of cyber resilience and operational security ...
United States
3 Dec 2018
OFR Says U.S. Financial Stability In Medium Risk Range
The report also describes a reorganization of the OFR in 2018.
United States
22 Nov 2018
FFIEC Alerts Financial Institutions Of Potential Impact Of Cyber-Related Sanctions
The Federal Financial Institutions Examination Council ("FFIEC") alerted financial institutions to the potential impact that cyber-related sanctions may have on information technology, operations and compliance.
United States
13 Nov 2018
FTC Offers Additional Resources On Cyber Security For Small Businesses
The Federal Trade Commission, together with the Department of Homeland Security, the National Institute of Standards and Technology ("NIST") ...
United States
25 Oct 2018
FDIC Adds Online Resource For Community Financial Institutions
The FDIC added on-line resources for community financial institutions to prepare for internal or external events such as "cyber attacks [or] natural disasters."
United States
25 Oct 2018
SEC Urges Public Companies To Develop Internal Controls Against Cyber-Related Fraud
The SEC urged public companies to implement internal accounting controls capable of preventing cyber-related fraud.
United States
19 Oct 2018
LabCFTC Director Encourages Increased Technological Literacy
LabCFTC Chief Innovation Officer and Director Daniel Gorfine encouraged "all levels of leadership" within business and the government to improve technological literacy.
United States
5 Oct 2018
Broker-Dealer And Investment Adviser Settle SEC Charges For Deficient Cybersecurity Procedures
A broker-dealer and investment adviser agreed to pay $1 million to settle SEC charges of failing to (i) protect customer information and (ii) develop and implement a written identity theft prevention program.
United States
3 Oct 2018
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