SEC Enforcement Action Alleges an Adviser Failed to Adopt Adequate Cybersecurity Policies and Procedures; SEC Issues an Investor Alert on Data Theft

Alan Brudner, Wendy Cohen, Gary DeWaal, David Dickstein, Richard Marshall
Katten Muchin Rosenman LLP
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On September 22, 2015, the Securities and Exchange Commission (SEC) filed a settled administrative proceeding[1] alleging that a registered investment adviser failed to adopt cybersecurity procedures in violation of an SEC rule. The adviser consented to a censure, a cease and desist order, and a $75,000 fine.

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