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Consumer Privacy Rights Securities and Exchange Commission (SEC) Broker-Dealer

McCarter & English, LLP

SEC Adopts Rule Amendments to Regulation S-P to Safeguard Customer Information and Enhance Cybersecurity Procedures at Financial...

On May 16, 2024, the Securities and Exchange Commission (SEC) adopted amendments to Regulation S-P to “modernize and enhance the rules that govern the treatment of consumers’ nonpublic personal information by certain...more

Troutman Pepper

SEC’s 2024 Examination Priorities: Implications for Consumer Financial Services

Troutman Pepper on

The Securities and Exchange Commission’s Division of Examinations has outlined its 2024 Examination Priorities, with a significant focus on cryptocurrency, emerging technology, and Anti-Money Laundering (AML) laws. This has...more

Katten Muchin Rosenman LLP

What Private Fund Advisers and Regulated Entities Should Do About the California Consumer Privacy Act

With The California Consumer Privacy Act (CCPA) set to take effect on January 1, 2020, many firms that collect personal information will need to carefully consider whether the CCPA applies to them, whether they handle...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

Katten Muchin Rosenman LLP

Bridging the Week - April 2019 #3

The watchdog arm of the Securities and Exchange Commission – the Office of Compliance Inspections and Examinations – issued a Risk Alert summarizing breakdowns in compliance by broker-dealers and investment advisers of their...more

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