Financial Services

two businessmen analyzing a financial report

Guidance from Director Dalia Blass Director Dalia Blass of the SEC's Division of Investment Management (the "Division") recently delivered the keynote address for the ICI 2018 Mutual Funds and Investment Management Conference.1 Director Blass discussed four main topics: (1) the role...

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hacker behind multiple computer screens

CFTC Penalizes Registrant for Outsourced IT Security Lapses Last month, the CFTC settled charges against an organization for its failure to ensure the security of its’ customers’ records and information. The registrant’s third-party vendor gained unauthorized access to more than...

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Sign on the building of Financial Industry Regulatory Authority

Priorities Letter Outlines Areas of Focus Each year, the Financial Industry Regulatory Authority (FINRA) shares its regulatory and examination priorities for the coming year, highlighting both new and continuing areas of focus. In this post, experts from Venable LLP provide...

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