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Gensler Discusses “Team Cyber” and Recent Rule Proposals
Gensler stated he has “asked staff to consider recommendations around how we can further address cybersecurity …
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MFDF Comment Letter - Cybersecurity Risk Management
Washington, D 1501 M Street NW, Suite 1150 • Washington, DC 20005 • T: 202.507.4488 …
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Forum Comment Letter on Cybersecurity Risk Management
On April 11, 2022, the Forum submitted a comment letter in response to the SEC's rule proposals regarding …
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Hill Update: Financial Services Hears from Powell
Members of Congress focused their questions on inflation, interest rates, the implications for the financial …
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IM Director Birdthistle Delivers First Public Remarks
Birdthistle spoke in support of recent Investment Advisers Act rule proposals that if adopted would …
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SEC Proposes Cybersecurity Rule for Funds, Advisers
The rule proposal (Rule 38a-2) would require a fund’s board of directors to approve the initial cybersecurity …
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Gensler Hints at Cyber Regulations to Affect Service Providers, Funds, Advisers
Chair Gensler also pointed to what regulations could look like for service providers, many of which are …
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Roisman Speech Hits on Future Cyber Regulation
Roisman stated that any new regulation should be principles-based and that the regulator should not try …
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Cyber, Regulatory Risks Among Top Global D&O Risks in 2021
Global respondents ranked cyber attacks as the top liability concern in the eighth annual Directors …
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OCIE Risk Alert Highlights Cybersecurity Shortcomings; GAO Report Assesses SEC's Cyber Preparedness
The SEC’s Office of Compliance Inspections and Examinations issued a Risk Alert based on staff examinations …
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Clayton Charts Path Forward with Key Principles, Says Regulatory Architecture is Sound
SEC Chairman Jay Clayton in his first public speech reiterated the agency’s mission and its alignment …
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OCIE Issues Risk Alert on Global Cyberattack; Insurer Requirements Push Firms to Improve Cyber Security Practices
The SEC’s Office of Compliance Inspections and Examinations issued a risk alert last week, urging financial …
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Paper Explores a Regulatory Framework for Robo-Advisors
An academic paper takes on the challenges that digital advice poses for financial market regulators and …