SEC and CFTC Impose New Identify Theft Regulations Requiring Investment Advisory Firms to Consider Updates to Policies and Procedures

By | New Jersey Law Blog | April 30, 2013

On April 10, 2013, the Securities and Exchange Commission (“SEC”) and Commodity Futures Trading Commission jointly adopted and announced new identity theft red flag regulations, which are being imposed pursuant to their respective authority under Dodd-Frank Act and the Fair Credit Reporting Act (“FCRA”). 

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Waive the Red Flag – SEC and CFTC Issue Identity Theft Red Flag Rules

By | Payment Law Advisor | April 25, 2013
Waive the Red Flag – SEC and CFTC Issue Identity Theft Red Flag Rules

On April 10, the Securities and Exchange Commission (“SEC”) and Commodity Futures Trading Commission (“CFTC”) approved a final rule requiring broker-dealers, registered investment companies, investment advisors, and other “financial institutions” and “creditors” regulated by the SEC or CFTC to set up programs to flag and deter identity theft.

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Monday Morning Regulatory Review – 4/15/13

Monday Morning Regulatory Review – 4/15/13

A confluence of external factors may have suppressed regulatory activity over the past week – the budget, sequestration, gun control, immigration, tax filing deadline, or what have you. In any event, this morning’s review takes the opportunity to catch up on a few events and questions that might not otherwise garner attention

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CFTC Grants No-Action Relief for End Users from Swap Reporting Requirements

On April 9, 2013, the Division of Market Oversight of the U.S. Commodity Futures Trading Commission (CFTC) issued a no-action letter delaying the swap reporting compliance deadlines for end users and other swap counterparties that are not swap dealers or major swap participants (non-SD/MSP counterparties). 

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