The SEC has issued a broad request for information and public comment on the use of “digital engagement practices” and analytics technology by broker-dealers and investment advisers.
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 Federal Reserve, FDIC and OCC jointly issued proposed guidance on banking organizations’ risk management of third-party relationships. The proposed interagency guidance would replac...
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. ...
President Biden signed an ambitious Executive Order on July 9, 2021, which pushes several federal agencies to advance competition principles in a range of economic sectors, and establishe...
The FDIC announced a modified approach to implementing its insured depository institution (IDI) resolution planning rule for IDIs with $100 billion or more in total assets. Our client upd...
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...
On June 30, President Biden signed the resolution to repeal the OCC’s true lender rule from the Trump administration. With majority votes from the House and the Senate, the rule has bee...
