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Electronic Communications Policies and Procedures Cybersecurity

SEC Compliance Consultants, Inc. (SEC³)

Regulatory Roundup for May 2024

SEC DROPS NEW REQUIREMENT FOR INCIDENT RESPONSE PROGRAMS, PROPOSAL FOR RIAS TO ADOPT CIP, SEC EXAMS SHARES MARKETING RULE FAILURES, RIA SLAMMED FOR FAILING TO RETAIN TEXTS, AND SEC WINS ON SHADOW TRADING THEORY - Welcome to...more

Bradley Arant Boult Cummings LLP

Business Email Compromise: The Most Prevalent – and Preventable – Cyber Risk

Ransomware attacks that shut business down to zero and data breaches that disclose the personal information of customers, vendors and employees justifiably strike fear in the hearts of executives everywhere. Organizations can...more

Jones Day

Considerations for Addressing DOJ’s Corporate Compliance Guidance on Mobile Devices and Messaging Platforms

Jones Day on

In light of the DOJ’s most recent guidance on the use of personal devices and third-party messaging applications by corporate personnel, this White Paper addresses issues and challenges that companies are facing in this area...more

Akin Gump Strauss Hauer & Feld LLP

SEC OCIE Issues Guidance on Advisers’ Recordkeeping Requirements for Electronic Messaging Following its Sweep Examination

• On December 14, the SEC’s OCIE issued a Risk Alert summarizing the findings of its limited-scope examination initiative relating to electronic messaging. • Noting a “pervasive use” of electronic messaging by adviser...more

Bass, Berry & Sims PLC

SEC Issues Report Warning about Fake Email Scams

Bass, Berry & Sims PLC on

On October 16, 2018, the SEC issued a 21(a) report announcing that it had investigated whether certain public companies that were victims of oftentimes unsophisticated, cyber-related frauds had violated federal securities...more

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