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Consumer Privacy Rights Regulation S-P Disclosure Requirements

Dechert LLP

Dechert Cyber Bits - Key Developments in Privacy & Cybersecurity - 2024 Crystal Ball Edition

Dechert LLP on

As we begin the new year, we offer this special edition with predictions for 2024 from members of the Cyber Bits Partner Committee. Regardless of what happens in 2024, we renew our commitment to keep you informed of the...more

WilmerHale

OCIE Issues Risk Alert Regarding Advisers and Broker Dealers Failing to Comply with Regulation S P

WilmerHale on

On April 16, 2019, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) released a new Risk Alert regarding Regulation S-P deficiencies found in recent examinations of...more

King & Spalding

Safe and Sound - FINRA and the SEC Issue Guidance on Handling Customer Information and Communications

King & Spalding on

Recently, the Financial Industry Regulatory Authority (“FINRA”) and the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) separately issued important guidance regarding customer communications surrounding the...more

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