...Kimberly Peretti; Amy Mushahwar; Jon Knight Purpose Discusses the long-term cybersecurity challenges businesses face as COVID-19 cases spike and remote work environments need to remain operational, scalable, and capable of flexing with cycles of virus resurgence. Design/Methodology/Approach...

...Aldo M. Leiva; Michel E. Clark Purpose To examine the COVID-19 pandemic’s effects on regulated entities within the context of cybersecurity, US Securities and Exchange Commission (SEC) compliance, and parallel proceedings. Design/methodology/approach Describes the SEC’s ability to conduct its...

... Explains how the SEC’s order not only cites violations of the Safeguards Rule under Regulation S-P (a staple of SEC cybersecurity enforcement actions against broker-dealers and investment advisers) but also is the SEC’s first enforcement action for a violation of the Identity Theft Red Flags Rule under...

...Stuart Gelfond†; Una Dean; Dave N. Rao; Justin Sedor Purpose To discuss the new guidance on public companies’ disclosure obligations regarding cybersecurity risks and incidents, which was recently unanimously approved by the Securities and Exchange Commission (SEC). Design/methodology/approach...

... at: david.dickstein@kattenlaw.com © Janet M. Angstadt, David Y. Dickstein, Mark D. Goldstein and Richard D. Marshall/Katten Muchin Rosenman LLP. 2018 Janet M. Angstadt, David Y. Dickstein, Mark D. Goldstein and Richard D. Marshall/Katten Muchin Rosenman LLP. Licensed re-use rights only Cybersecurity...

...Jonathan G. Cedarbaum; Benjamin A. Powell; D. Reed Freeman; Leah Schloss; Reed Abrahamson Purpose To analyze the cybersecurity regulations for financial institutions issued by the New York State Department of Financial Services on February 16, 2017. Design/methodology/approach This article...

...Stephen M. Humenik; James Kwok Purpose To summarize and analyze the CFTC’s proposed enhanced cybersecurity testing rules for entities that run the core derivatives market infrastructure. Design/methodology/approach This article discusses the CFTC’s proposed rulemaking related to cybersecurity...

...Brian Rubin; Amy Xu Purpose To analyze how the US Securities and Exchange Commission (SEC) has sanctioned broker-dealers (BDs) and registered investment advisers (RIAs) when cybersecurity breaches have occurred and to discuss whether the SEC is imposing a strict liability approach. Design...

...V. Gerard Comizio; Behnam Dayanim; Laura Bain Purpose To provide financial institutions an overview of the developments in cybersecurity regulation of financial institutions during 2015 by the United States, the United Kingdom, and the European Union, as well as guidance for developing effective...

... be contacted at: gary.dewaal@kattenlaw.com © Authors 2015 Bitcoin Cybersecurity BitLicense New York State Department of Financial Services (NYDFS) Regulatory compliance Virtual currencies The New York State Department of Financial Services (NYDFS) recently issued its final BitLicense...

.../approach – This article highlights the broad OCIE focus areas and provides detail on the associated initiatives. Findings – OCIE’s priorities appear to place particular emphasis on retail investors and investors saving for retirement and market-wide risks, including cybersecurity. The examination...

...Richard Kuhlman; Jason Kempf Purpose – To summarize and comment on FINRA’s report on cybersecurity practices, published on February 4, 2015, which arose from its 2014 targeted examination of firms’ cybersecurity preparedness. Design/methodology/approach – Explains the implications...

... firms to address legal, regulatory and compliance challenges related to cybersecurity. Design/methodology/approach – Comments on the meaning of the Risk Alert and summarizes OCIE’s exam observations. Findings – These examinations grew out of the SEC’s Cybersecurity Examination Initiative...

...Daniel A. Nathan; Libby J. Greismann Purpose – To alert broker-dealers to the SEC’s plans to examine their cybersecurity practices, and offer advice on compliance. Design/methodology/approach – Reviews the SEC’s proposed cybersecurity framework and provides suggestions for broker-dealers...

...David Petron; Michael Wolk; Edward McNicholas Purpose – To alert broker-dealers to several regulatory developments relating to cybersecurity threats. Design/methodology/approach – Reviews four regulatory developments in the cybersecurity area and provides several steps broker-dealers should...

...Cynthia M. Krus Purpose The purpose of this paper is to explain the SEC's recent guidance on disclosure obligations related to cybersecurity risks and cyber incidents. Design/methodology/approach The paper provides an overview of the guidance, including recommended mention of cybersecurity...