SEC Division of Examinations Issues Risk Alert on Regulation S-ID and Identity Theft Prevention Programs -
On December 5, 2022, the Securities and Exchange Commission (“SEC”) Division of Examinations (“EXAMS”) issued a...more
12/16/2022
/ Advanced Notice of Proposed Rulemaking (ANPRM) ,
American Civil Liberties Union (ACLU) ,
Artificial Intelligence ,
Broker-Dealer ,
Cyber Attacks ,
Cybersecurity ,
Data Breach ,
Data Transfers ,
EDPS ,
EU ,
European Data Protection Board (EDPB) ,
European Economic Area (EEA) ,
Federal Trade Commission (FTC) ,
General Data Protection Regulation (GDPR) ,
Investment Adviser ,
Minors ,
Online Safety for Children ,
Personal Data ,
Policies and Procedures ,
Proposed Legislation ,
Regulation S-ID ,
Risk Alert ,
Securities and Exchange Commission (SEC) ,
SolarWinds
SEC Chair Gensler Indicates Commission is Looking to Update SEC’s Regulation S-P -
On September 28, 2022, Securities and Exchange Commission (“SEC” or the “Commission”) Chairman Gary Gensler appeared via video at the...more
10/14/2022
/ Advanced Notice of Proposed Rulemaking (ANPRM) ,
Algorithms ,
Anti-Discrimination Policies ,
Artificial Intelligence ,
Biden Administration ,
Broker-Dealer ,
Cloud Service Providers (CSPs) ,
Cybersecurity ,
Data Breach ,
Data Privacy ,
EU ,
EU-US Privacy Shield ,
Federal Trade Commission (FTC) ,
Foreign Trade Regulations ,
Gramm-Leach-Blilely Act ,
Hackers ,
Information Commissioner's Office (ICO) ,
International Data Transfers ,
Investment Adviser ,
Investment Companies ,
Privacy Framework ,
Regulation S-P ,
Request For Information ,
Right of Access ,
Securities and Exchange Commission (SEC) ,
Subject Access Request (SAR) ,
Title V ,
U.S. Commerce Department ,
Uber ,
UK ,
UK GDPR
The Office of Compliance Inspections and Examinations of the Securities and Exchange Commission released cybersecurity and resiliency-related examination observations on January 27, 2020, based on “thousands of examinations...more
2/14/2020
/ Broker-Dealer ,
Clearing Agencies ,
Corporate Governance ,
Cybersecurity ,
Data Loss Prevention ,
Incident Response Plans ,
Investment Adviser ,
OCIE ,
Privacy Policy ,
Publicly-Traded Companies ,
Risk Assessment ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Stock Exchange ,
Vendors
The U.S. Securities and Exchange Commission has proposed amendments to Rule 206(4)-1 – Advertisements by Investment Advisers (Current Advertising Rule) and Rule 206(4)-3 – Cash Payments for Client Solicitations (Current...more
2/3/2020
/ Advertising ,
Cash Solicitation Rule ,
Form ADV ,
Institutional Investors ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Proposed Amendments ,
Publicly-Traded Companies ,
Recordkeeping Requirements ,
Retail Investors ,
SEC Advertising Rule ,
Securities and Exchange Commission (SEC) ,
Securities Regulation