Financial Institutions, Policies and Procedures, Data Privacy

New SEC Cybersecurity Compliance Deadlines are Coming: What 5 Things Should Covered Institutions Do to Prepare?

Fisher Phillips on 6/30/2025

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

What the SEC Amendments to Regulation S-P Mean for Your Business

Tonkon Torp LLP on 2/5/2025

On May 16, 2024, the SEC adopted amendments to Regulation S-P requiring broker-dealers, registered investment companies, registered investment advisers, funding portals, and transfer agents (collectively, “covered...more

Off-Channel Communications: How Financial Services Organizations Can Address Regulators’ Latest Target

J.S. Held on 3/13/2023

As a number of recent headlines demonstrate, the U.S. Securities and Exchange Commission (SEC) and other regulators have fined and penalized employers and employees in the financial services industry for non-compliance with...more

SEC Issues Disclosure Guidance as Part of Continued Focus on Cybersecurity

Moore & Van Allen PLLC on 9/18/2018

As cybersecurity attacks have continued to gain prominence as a threat posing critical risk management and compliance challenges for financial institutions, the Securities and Exchange Commission (SEC) has emerged as an...more

FFIEC Highlights Cyber Insurance for Financial Institutions

Bradley Arant Boult Cummings LLP on 4/18/2018

The Federal Financial Institutions Examination Council (FFIEC) has issued a joint statement emphasizing the need for lenders and servicers to include cyber insurance in their risk management program. Although the FFIEC did...more

The Bank Next Door: Part I – Using Social Media to “Friend” Customers

Bradley Arant Boult Cummings LLP on 5/2/2017

This blog is the first in a series of articles which will examine the risks, rewards, innovative uses, and changing legal landscape of social media use by financial services institutions. Future blog articles will examine...more