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Personal Information Policies and Procedures Regulation S-P

Dechert LLP

SEC Adopts First Major Amendments to Regulation S-P Since 2000

Dechert LLP on

Incident Response Plans and Written Information Security Programs Continue to be Essential and Will Need to Be Reviewed. Most sophisticated organizations currently have in place incident response plans. Those organizations...more

A&O Shearman

SEC adopts amendments to Regulation S-P to address risks associated with the expanded use of technology

A&O Shearman on

On May 16, 2024, the U.S. Securities and Exchange Commission (“SEC”) adopted amendments to Regulation S-P (“Reg S-P”) that are intended to help protect investors’ privacy from the “expanded use of technology and corresponding...more

Goodwin

SEC to Impose Significant New Privacy and Cybersecurity Rules for BDs, RIAs, TAs, and Mutual Funds

Goodwin on

The SEC continues its overhaul of cybersecurity, cyber incident reporting, and privacy controls and requirements for industry registrants, their services providers, and corporate America generally. On March 15, 2023, the SEC...more

Seward & Kissel LLP

Wealth Management Firm Charged with Reg S-P Violations for Failing to Properly Dispose of its Hard Drives

Seward & Kissel LLP on

On September 20th, 2022, the Securities and Exchange Commission (“Commission”) entered a settled order (“Order”) against the wealth management arm of a global financial services firm (“Firm”) for its failure to protect...more

Fenwick & West LLP

Say What You Do…Do What You Say…Only See What…

Fenwick & West LLP on

Case Overview - This week’s U.S. Securities and Exchange Commission enforcement cease-and-desist order (Order) In re App Annie Inc., out of the SEC’s San Francisco Regional Office, underscores the importance of taking...more

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