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Consumer Privacy Rights › Cybersecurity › Investment Adviser

Lowenstein Sandler LLP

Compliance Deadlines to Implement Significant Amendments to Regulation S-P Are Fast Approaching: Key Implications for Covered...

Lowenstein Sandler LLP on

On May 16, 2024, the Securities and Exchange Commission (SEC) adopted sweeping amendments to Regulation S-P, which governs the privacy of nonpublic consumer personal and financial information for a broad range of financial...more

Dinsmore & Shohl LLP

Summary of Regulation S-P Revisions Applicable to Investment Advisers

Dinsmore & Shohl LLP on

On May 15, 2024 the SEC issued Release Nos. 34-100155; IA-6604 (the “Adopting Release”) providing for amendments to the safeguards and disposal rules of Regulation S-P (the “Amendments”). The compliance dates for the...more

Miller Canfield

Risks For RIA Firms in a COVID World

Miller Canfield on

In light of COVID-19, the U.S. Securities and Exchange Commission ("SEC"), recognizing that RIA Firms are facing operational, technological, commercial and other issues, has also outlined "regulatory and compliance questions...more

Katten Muchin Rosenman LLP

Bridging the Week - April 2019 #3

Katten Muchin Rosenman LLP on

The watchdog arm of the Securities and Exchange Commission – the Office of Compliance Inspections and Examinations – issued a Risk Alert summarizing breakdowns in compliance by broker-dealers and investment advisers of their...more

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