Texas is one of the many states that looked to be following in the footsteps of California’s enactment of a broad consumer privacy law (the California Consumer Privacy Act), which has far-ranging implications for businesses...more
The U.S. Securities and Exchange Commission (SEC) recently announced a consent order settling an enforcement action brought by the SEC against Voya Financial Advisors Inc. (VFA) in connection with a data security incident...more
On September 15, 2015, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) issued a National Exam Program Risk Alert (2015 Risk Alert) to provide broker-dealers and investment...more
9/29/2015
/ Broker-Dealer ,
Compliance ,
Cyber Attacks ,
Cyber Crimes ,
Cybersecurity ,
Data Breach ,
Data Loss Prevention ,
Data Protection ,
Data Security ,
Due Diligence ,
Financial Institutions ,
Hackers ,
Incident Response Plans ,
Investment Adviser ,
OCIE ,
Personally Identifiable Information ,
Popular ,
Privacy Policy ,
Regulation S-P ,
Risk Alert ,
Risk Assessment ,
Securities and Exchange Commission (SEC) ,
Securities Exchanges ,
Securities Regulation ,
Third-Party Risk ,
Third-Party Service Provider ,
Trading Platforms
Wyoming recently joined the list of states passing laws that broaden the scope of their data breach notification laws. On March 2, 2015, Wyoming signed into law two bills (S.F. 35 and S.F. 36) that expand the definition of...more