We get Privacy for work – Episode 6: The Potential Privacy Risks Inherent to Mergers and Acquisitions
Driving Digital Security: The FTC's Safeguards Rule Explained — Moving the Metal: The Auto Finance Podcast
No Password Required: SVP at SpyCloud Labs, Former Army Investigator, and Current Breakfast Champion
No Password Required Podcast: Chief Product Officer at ThreatLocker and Advocate of Buc-ee’s, Mascots, and Buc-ee Mascots
No Password Required: Director and Cybersecurity Adviser at KPMG and Rain Culture Authority
AI Talk With Juliana Neelbauer - Episode Two - Cybersecurity Insurance: The New Frontier of Risk Management
On-Demand Webinar: Bring Predictability to the Spiraling Cost of Cyber Incident Response Data Mining
On-Demand Webinar: Bring Predictability and Reduce the Spiraling Cost of Cyber Incident Response
Unlock Privacy ROI: Why Making Cross-Functional Allies is Key
No Password Required: USF Cybercrime Professor, Former Federal Agent, and Vintage Computer Archivist
Episode 334 -- District Court Dismisses Bulk of SEC Claims Against Solarwinds
Monumental Win in Data Breach Class Action: A Case Study — The Consumer Finance Podcast
Cost of Noncompliance: More Than Just Fines
Will the U.S. Have a GDPR? With Rachael Ormiston of Osano
Work This Way: A Labor & Employment Law Podcast | Episode 14: How Employers Can Navigate Cybersecurity Issues with Brandon Robinson, Maynard Nexsen Attorney
FBI Lockbit Takedown: What Does It Mean for Your Company?
Privacy Officer's Roadmap: Data Breach and Ransomware Defense – Speaking of Litigation Video Podcast
Decoding Cyber Threats: Protecting Critical Infrastructure in a Digital World — Regulatory Oversight Podcast
Life With GDPR: Episode 104 – Solar Winds and Your Mother – Tell The Truth
No Password Required: American University’s Vice Provost for Research and Innovation and a Tracker of (Cyber) Unicorns
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
The SEC’s amended Regulation S-P, adopted last year, will soon enhance data privacy protections for broker-dealers, investment companies, registered investment advisors, and transfer agents. The updated rule requires these...more
Virtually all organizations have an obligation to safeguard their personal data against unauthorized access or use, and, in some instances, to notify affected individuals in the event such access or use occurs. Those...more
Share on Twitter Print Share by Email Share Back to top “The basic idea for covered firms is if you’ve got a breach, then you’ve got to notify. That’s good for investors.” Those were among the remarks that U.S. Securities and...more
Who may be interested: Investment Companies; Investment Advisers; Broker-Dealers; Transfer Agents - The SEC adopted amendments to Regulation S-P imposing new data privacy and security requirements on broker-dealers,...more
On May 15, 2024, the Securities and Exchange Commission (the “SEC”) adopted amendments to Regulation S-P. Originally passed in 2000, Regulation S-P regulates the treatment of non-public personal information of consumers by...more
The financial services industry has seen a litany of new data privacy and cybersecurity challenges through the first half of 2024. Financial institutions are facing unprecedented compliance hurdles resulting from the...more
SEC DROPS NEW REQUIREMENT FOR INCIDENT RESPONSE PROGRAMS, PROPOSAL FOR RIAS TO ADOPT CIP, SEC EXAMS SHARES MARKETING RULE FAILURES, RIA SLAMMED FOR FAILING TO RETAIN TEXTS, AND SEC WINS ON SHADOW TRADING THEORY - Welcome to...more
On May 15, 2024, the Securities and Exchange Commission (the “SEC”) issued final amendments (the “Amendments”) to Regulation S-P (originally adopted in 2000), which governs the treatment of a customer’s nonpublic personal...more
On May 16, 2024, the Securities and Exchange Commission (SEC) announced the adoption of amendments to Regulation S-P (Reg S-P), which broadly track the changes originally proposed in March 2023. The revised Reg S-P requires...more
On May 16, 2024, the SEC amended Regulation S-P to impose new data privacy and security requirements on broker-dealers, registered investment advisers, investment companies (whether or not they are registered with the SEC),...more
On March 15, 2023, the Securities and Exchange Commission (SEC) proposed three rule changes that demonstrate its continued focus on cybersecurity. One of these proposals, and the only one to be unanimously approved (the...more
A cyber breach can have serious legal, financial, and reputational consequences for a fund sponsor, as described in our previous post. As such, cybersecurity threats must be treated as business risks, not just a potential IT...more
• The SEC released a Risk Alert summarizing key areas in which it continues to see compliance deficiencies related to Regulation S-P, the primary SEC rule regarding privacy notices and safeguard policies of investment...more
The SEC announced last week that an investment adviser had agreed to settle charges that it failed to take required steps to protect against and respond effectively to a cybersecurity breach. The action comes on the heels of...more
On September 15, 2015, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) issued a National Exam Program Risk Alert (2015 Risk Alert) to provide broker-dealers and investment...more