The US Securities and Exchange Commission (SEC) issued a notice of proposed rulemaking (the Proposal) on March 15 that would require SEC-regulated investment advisers, investment companies, and broker dealers to provide...more
The US Securities and Exchange Commission (SEC) recently proposed a comprehensive framework of cybersecurity-related rules and amendments for investment advisers and investment companies. Although advisers and funds may have...more
The three federal banking agencies (i.e., the Federal Reserve Board, the Federal Deposit Insurance Corporation, and the Office of the Comptroller of the Currency—collectively, the Agencies) published a final rule (the Rule)...more
12/3/2021
/ Bank Service Company Act ,
Banking Sector ,
Cybersecurity ,
Data Breach ,
Data Protection ,
Data Security ,
Final Rules ,
Financial Regulatory Agencies ,
Financial Regulatory Reform ,
FinTech ,
Popular
One of the major changes introduced by the Stop Hacks and Improve Electronic Data Security (SHIELD) Act, which was signed into New York law last year, is scheduled to take effect this week.
...more
3/17/2020
/ Cybersecurity ,
Data Breach ,
Data Management ,
Data Protection ,
Data Security ,
Hackers ,
Information Technology ,
New Legislation ,
Personally Identifiable Information ,
Risk Management ,
Security Standards ,
SHIELD Act ,
State and Local Government ,
State Data Breach Notification Statutes
The SEC continues to focus on cybersecurity as an area of concern within the investment management industry....more