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Articles by Paul McCurdy
Katten Privacy, Data and Cybersecurity Newsletter Issue 3 | March 2023
Ever-Expanding BIPA Damages: Illinois Supreme Court Holds Each Collection or Dissemination of Biometric Data Constitutes a Separate Violation of BIPA In an eagerly-awaited decision in Cothron v.
SEC 2023 Examination Priorities
On February 7, the Securities and Exchange Commission’s (SEC) Division of Examinations (Division) published its examination priorities for 2023.1 According to this statement, the Division’s mission is to promote compliance, prevent fraud, monitor risk and inform policy. The Division noted that in fiscal year 2022, the Division examined approximately 15 percent of all registered investment advisers (RIAs).
The SEC Remains in Search of and Is Looking for Finders
Thursday, September 8, 2022 Much has been written on the topic of finders and arrangers of securities transactions, including when a person or entity acting as a finder (i.e., someone who merely makes an introduction) has crossed the line and engaged in activities or conduct that requires registration as a broker-dealer.
Financial Services Industry Year in Review: Regulatory Enforcement and Litigation Trends in 2021 and Beyond
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Just like the rest of us, the financial services industry wasn't immune from the numerous and unprecedented pandemic-related challenges over the past year. Through our annual Financial Markets Litigation and Enforcement Symposium Series, we were able to take a deeper look at the state of futures, trading, and securities regulatory and enforcement trends.
By Daniel Davis, Carl Kennedy, Susan Light, Michael Lohnes, Richard Marshall, Paul McCurdy, Nicole Saleem, Patrick Smith Verified
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Lexology
Verified
Securities Regulatory And Enforcement: Four Asset Management Trends
United States: Securities Regulatory And Enforcement: Four Asset Management Trends 25 November 2021 by Alexander C. Kim , Richard Marshall and Paul McCurdy Katten Muchin Rosenman LLP To print this article, all you need is to be registered or login on Mondaq.com. When the United States Investment Company Act and the Investment Advisers Act of 1940 came into force, assets under management were a mere $1 billion.
The SEC Clarifies Status of Institutional Family Offices for Purposes of Regulation Best Interest | JD Supra
Background Recently, staff of the Securities and Exchange Commission (SEC) issued a no-action letter stating that they would not regard "Institutional Family Offices" as retail customers of broker-dealers for purposes of broker-dealers' obligations under Regulation Best Interest (Reg BI) and Form CRS.
Banding Together: Reddit, Robinhood and Regulatory Response to Market Populism
The Thomson Reuters Institute is pleased to present an ongoing series of contemporary takes on our current social justice environment. Our aim is to foster healthy debate and intellectual inquiry into forces and trends shaping the global public square. Earlier this year, a band of retail investors shook financial markets by driving up the price of GameStop shares and creating a painful short squeeze for hedge funds and institutional investors alike.
FINRA Proposes Changes for New Membership Applications and Continuing Membership Applications | JD Supra
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OCC to Provide a Regulatory Framework for Fintech Companies | JD Supra
JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations. This Privacy Policy describes how JD Supra, LLC ("JD Supra" or "we," "us," or "our") collects, uses and shares personal data collected from visitors to our website (located at www.jdsupra.com) (our "Website") who view only publicly-available content as well as subscribers to our services (such as our email digests or author tools)(our "Services").
Deadline Approaches for Implementation of FinCEN Customer Due Diligence Requirements | JD Supra
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