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Incident Response Plans Securities and Exchange Commission (SEC) Vendors

McCarter & English, LLP

Don’t Get Caught in Scattered Spider’s Web

The cybercrime group known as Scattered Spider is at it again, according to Google’s Threat Intelligence Group. This criminal group is known to focus its cyber attacks on one sector at a time. Last spring, it was the retail...more

Herbert Smith Freehills Kramer

Cybersecurity: the SEC Provides Guidance on Well-Known and Emerging Best Practices

At the end of January, the U.S. Securities and Exchange’s Office of Compliance Inspections and Examinations (OCIE) released its “Observations on Cybersecurity and Resiliency Practices” (Observations)....more

Hogan Lovells

SEC Releases Cybersecurity and Resiliency Observations: A Potentially Useful Guide for Businesses

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In today’s connected world, businesses face constant pressure to improve their cybersecurity practices and to confirm that they are meeting industry standards. To continue helping businesses achieve those goals, the SEC...more

Bracewell LLP

SEC Examiners Release Cyber Observations: What You Need To Know

Bracewell LLP on

On January 27, 2020, the SEC’s Office of Compliance Inspections and Examinations (OCIE) announced its most recent Cybersecurity and Resiliency Observations. This report highlights specific practices that have been, and can be...more

Akin Gump Strauss Hauer & Feld LLP

SEC Warns Registered Firms about Client Privacy and Data Security

• 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

Sheppard Mullin Richter & Hampton LLP

SEC To Focus on Cybersecurity in 2019

For the fourth year running, the Securities and Exchange Commission’s Office continues to list cybersecurity as one of the top enforcement priorities for 2019. As it relates to cybersecurity, the SEC will be focusing on...more

Stinson LLP

Emerging Trends Newsletter - Q3

Stinson LLP on

We are thrilled to bring you the third installment of Stinson Leonard Street's Emerging Trends newsletter. We are proud of the depth and breadth of experience and knowledge across our firm's 13 offices nationwide and are...more

Skadden, Arps, Slate, Meagher & Flom LLP

"Emerging Trends in Privacy and Cybersecurity"

Entering 2016, the relentless stream of cyberattacks continues unabated, having become a "business as usual" reality to which companies must adapt. All companies, regardless of size or industry, are potential targets, and the...more

Skadden, Arps, Slate, Meagher & Flom LLP

"SEC Issues Cybersecurity Initiative"

On September 15, 2015, the U.S. Securities and Exchange Commission (the “SEC”) issued a risk alert release announcing that the Office of Compliance Inspections and Examinations (“OCIE”) will be conducting a new Cybersecurity...more

Bracewell LLP

SEC: 2015 Examination Priorities – Cybersecurity Compliance and Controls

Bracewell LLP on

Registered broker-dealers and investment advisers received a stern warning to strengthen their cybersecurity programs or face further regulatory scrutiny. On September 15, 2015, the SEC announced a plan to sharpen its focus...more

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