The SEC filed three enforcement actions against investment advisers and broker-dealers for cybersecurity deficiencies after the firms experienced incidents that exposed customer and clien...
The Group of Thirty (G30) has published a report analyzing weaknesses in the U.S. Treasury market and setting out recommendations designed to improve market resilience in periods of stress.
The Financial Stability Board has issued a consultation report with policy proposals to enhance money market fund resilience that are largely consistent with those under consideration in ...
Financial services regulatory reform will continue to be active in 2021, with the Biden Administration focused on activity at the intersection of financial regulation and social policy. ...
The SEC’s request for public input on climate disclosures attracted 297 institutional comments totaling 3,290 pages. The views range from questioning the SEC’s authority to imploring...
The Executive Order on Climate-Related Financial Risk is the latest significant step by the Biden Administration to analyze and mitigate the risks that climate change poses to the U.S. ec...
The Securities and Exchange Commission’s recent case against a registered broker-dealer for not filing Suspicious Activity Reports (SARs) reinforces the SEC’s focus on anti-money laun...
The Fed’s recent proposal marks the latest development on one of the most important policy questions for the U.S. financial system today: who is entitled to have a master account? A mas...
Davis Polk partner Gabriel Rosenberg recently co-authored OTC Derivatives Regulation Under Dodd-Frank: A Guide to Registration, Reporting, Business Conduct, and Clearing,2020-2021 ed. Th...
