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Data Privacy Broker-Dealer Compliance

WilmerHale

SEC Modernizes Data Protection Rules for Safeguarding Customer Information

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Last month, the Securities and Exchange Commission (the SEC or the Commission) unanimously voted to adopt amendments to Regulation S-P (Reg S-P), which is the SEC’s regulation governing the treatment and safeguarding of...more

Foley & Lardner LLP

Artificial Intelligence, the SEC, and What the Future May Hold

Foley & Lardner LLP on

With the growing use of artificial intelligence (AI) in financial markets, broker-dealers and investment advisers need to pay attention to the risks posed by AI on firms’ compliance with federal securities laws. While machine...more

BakerHostetler

SEC Proposes AI Rules for Broker-Dealers and Advisers After Chair’s Warnings

BakerHostetler on

Chair Gensler’s Public Statements Warning of AI’s Impact on Securities Industry - In his speech before the National Press Club, Chair Gensler focused on the tremendous opportunities AI technology presents but cautioned...more

NAVEX

3 Coronavirus Compliance Tips From the SEC

NAVEX on

The coronavirus crisis is far from over, and compliance professionals still need every scrap of guidance that regulators can provide about how to run compliance programs in these difficult times. So when the Securities and...more

King & Spalding

SEC Examiners Warn of COVID-Related Compliance Risks for Broker-Dealers and Investment Advisers

King & Spalding on

The Securities and Exchange Commission (“SEC”) last week published its observations from the first five months operating the SEC’s national examination program during the ongoing COVID-19 pandemic. This is the latest...more

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