Alan Brudner

Alan Brudner

Katten Muchin Rosenman LLP

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Financial Markets and Funds Quick Take | Issue 38

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more

5/21/2025  /  CFTC , Cryptocurrency , Enforcement Actions , Financial Institutions , Financial Markets , Financial Regulatory Reform , Government Agencies , Investment Funds , Regulatory Reform , Securities Regulation

SEC Enforcement Action Alleges an Adviser Failed to Adopt Adequate Cybersecurity Policies and Procedures; SEC Issues an Investor...

On September 22, 2015, the Securities and Exchange Commission (SEC) filed a settled administrative proceeding[1] alleging that a registered investment adviser failed to adopt cybersecurity procedures in violation of an SEC...more

9/25/2015  /  Cybersecurity , Data Breach , Enforcement Actions , Investment Adviser , Personally Identifiable Information , Risk Alert , Securities and Exchange Commission (SEC) , Security and Privacy Controls
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