- The OCIE of the SEC highlights that responses to COVID-19 present important regulatory and compliance issues for SEC registrants, including “heightened risks of misconduct” tied to recent market volatility.
- The Risk...more
8/21/2020
/ Asset Management ,
Broker-Dealer ,
Business Continuity Plans ,
Business Operations ,
Compliance ,
Conflicts of Interest ,
Coronavirus/COVID-19 ,
Cybersecurity ,
Data Protection ,
Fees ,
Financial Transactions ,
Investment Adviser ,
Investment Fraud ,
Investment Management ,
Investors ,
OCIE ,
Personally Identifiable Information ,
Policies and Procedures ,
Popular ,
Remote Working ,
Risk Alert ,
Securities and Exchange Commission (SEC) ,
Supervision
On Friday, August 14, California’s Office of Administrative Law (OAL) approved the final draft of the Attorney General’s (AG) regulations under the California Consumer Privacy Act (CCPA). Attorney General Xavier Becerra’s...more
8/20/2020
/ California Consumer Privacy Act (CCPA) ,
Consumer Privacy Rights ,
Cybersecurity ,
Data Collection ,
Data Privacy ,
Data Protection ,
Data Security ,
Data Subjects Rights ,
Office of Administrative Law ,
Opt-Outs ,
Personally Identifiable Information ,
Privacy Laws ,
Privacy Policy ,
Private Right of Action ,
Regulatory Requirements ,
State Attorneys General
Massachusetts Attorney General (AG) Maura Healey announced the creation of a Data Privacy and Security Division, focusing on protecting consumers from privacy and security breaches and threats. AG Healey named Sara Cable as...more
8/20/2020
/ Consumer Privacy Rights ,
Cyber Threats ,
Cybersecurity ,
Data Breach ,
Data Privacy ,
Data Security ,
Equal Access ,
Internet ,
Personal Data ,
Popular ,
Privacy Laws ,
State Attorneys General
Whatever your business—whether you are a government entity in charge of mega projects, an oil and gas major responsible for energy security, an investor looking at new investments, managing existing positions or planning...more
Whatever your business—whether you are a government entity in charge of mega projects, an oil and gas major responsible for energy security, an investor looking at new investments, managing existing positions or planning...more
On March 5, 2020, Gov. Phil Scott (VT-R) signed into law amendments to the Security Breach Notice Act (the “Act”). The amendments, which originated in the State Senate as part of an initiative addressing a number of data...more
8/10/2020
/ Amended Legislation ,
Cybersecurity ,
Data Breach ,
Data Collection ,
Data Controller ,
Data Privacy ,
Data Protection ,
Data Security ,
Enforcement Actions ,
Governor Scott ,
New Guidance ,
Notice Requirements ,
Personally Identifiable Information ,
Popular ,
State Attorneys General
On July 21, 2020, the New York Department of Financial Services (DFS) filed a “Statement of Charges and Notice of Hearing” (the “Charges”) against First American Title Insurance Company (the “Company”) alleging violations of...more
8/7/2020
/ Banking Sector ,
Banks ,
Covered Entities ,
Cybersecurity ,
Data Breach ,
Data Privacy ,
Data Protection ,
Data Security ,
Department of Financial Services ,
Enforcement Actions ,
Financial Institutions ,
Financial Services Industry ,
Personally Identifiable Information ,
Sensitive Personal Information ,
Websites
Whatever your business—whether you are a government entity in charge of mega projects, an oil and gas major responsible for energy security, an investor looking at new investments, managing existing positions or planning...more
On July 16, 2020, the Grand Chamber of the Court of Justice of the European Union (CJEU) in Luxembourg handed down its highly anticipated judgment in a case brought by privacy activist Max Schrems (C-311/18, Data Protection...more
7/20/2020
/ Court of Justice of the European Union (CJEU) ,
Data Controller ,
Data Processors ,
Data Protection ,
EU ,
EU-US Privacy Shield ,
General Data Protection Regulation (GDPR) ,
International Data Transfers ,
Personal Data ,
Safe Harbors ,
Standard Contractual Clauses
Whatever your business—whether you are a government entity in charge of mega projects, an oil and gas major responsible for energy security, an investor looking at new investments, managing existing positions or planning...more
- In the age of broad corporate teleworking brought on by COVID-19, OCIE of the SEC has observed during recent examinations that investment advisers, broker-dealers and investment companies are subject to an increased threat...more
7/16/2020
/ Broker-Dealer ,
Cyber Attacks ,
Cybersecurity ,
Data Breach ,
Financial Services Industry ,
Homeland Security Cybersecurity & Infrastructure Security Agency (CISA) ,
Incident Response Plans ,
Investment Management ,
Malware ,
OCIE ,
Popular ,
Ransomware ,
Risk Alert ,
Securities and Exchange Commission (SEC)
Whatever your business—whether you are an investor looking at new investments, managing existing positions or planning exits, or a corporate concerned with protecting and enhancing your business—the current public health...more
Whatever your business—whether you are a government entity in charge of mega projects, an oil and gas major responsible for energy security, an investor looking at new investments, managing existing positions or planning...more
On July 1, 2020, California Attorney General Xavier Becerra issued a statement as the first day of enforcement of the California Consumer Privacy Act (CCPA) commenced, urging businesses to know their responsibilities under...more
Whatever your business—whether you are a government entity in charge of mega projects, an oil and gas major responsible for energy security, an investor looking at new investments, managing existing positions or planning...more
Whatever your business—whether you are an investor looking at new investments, managing existing positions or planning exits, or a corporate concerned with protecting and enhancing your business—the current public health...more
Whatever your business—whether you are an investor looking at new investments, managing existing positions or planning exits, or a corporate concerned with protecting and enhancing your business—the current public health...more
The advocacy group, Californians For Consumer Privacy, has qualified the California Privacy Rights Act (CPRA) for the November 2020 ballot. The required number of signatures was verified by the California Secretary of State,...more
Whatever your business—whether you are a government entity in charge of mega projects, an oil and gas major responsible for energy security, an investor looking at new investments, managing existing positions or planning...more
Whatever your business—whether you are an investor looking at new investments, managing existing positions or planning exits, or a corporate concerned with protecting and enhancing your business—the current public health...more
Whatever your business—whether you are a government entity in charge of mega projects, an oil and gas major responsible for energy security, an investor looking at new investments, managing existing positions or planning...more
Whatever your business—whether you are an investor looking at new investments, managing existing positions or planning exits, or a corporate concerned with protecting and enhancing your business—the current public health...more
Whatever your business—whether you are an investor looking at new investments, managing existing positions or planning exits, or a corporate concerned with protecting and enhancing your business—the current public health...more
Whatever your business—whether you are an investor looking at new investments, managing existing positions or planning exits, or a corporate concerned with protecting and enhancing your business—the current public health...more
Whatever your business—whether you are a government entity in charge of mega projects, an oil and gas major responsible for energy security, an investor looking at new investments, managing existing positions or planning...more