Blog

UK FCA and PRA Amend Enforcement Procedures

In February 2017, the UK Financial Conduct Authority (the “FCA”) and the Prudential Regulation Authority issued a joint policy statement (the “Statement”) regarding enforcement, following up on their April 2016 consultation paper.  The Statement announces changes to the Decision Procedure and Penalties Manual (the “DEPP”) and the Enforcement Guide (the “EG”).  While there are a... Read more »

NY Department of Financial Services Publishes Revised Cybersecurity Rules

As reported previously, the NY Department of Financial Services (the “NYDFS”) published proposed comprehensive cybersecurity rules that would apply to financial institutions holding a state license.  On December 28, 2016, the NYDFS published revised rules, taking into account some, but not all, of the objections to the original rules.  The new rules have a 30... Read more »

SEC’s Office of Compliance Inspections and Examinations Publishes 2017 Priorities

The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (the “OCIE”) has published it 2017 exam priorities.  These include (i) matters important to retail investors, (ii) risks to elderly and retiring investors and (iii) market-wide risks.  In terms of the latter, the OCIE will focus on: (i) compliance with the 2014 amendments to... Read more »

FINRA Exam Priorities for 2017

The Financial Industry Regulatory Authority (“FINRA”) issued a letter setting forth its exam priorities for 2017.  These include a focus on implementation of Regulatory Notice 15-46 on Best Execution, and exhorting firms to consider the continuing automation of the markets for equity securities and standardized options, and recent advances in trading technology and communications in the fixed... Read more »

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