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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
The Securities and Exchange Commission (“SEC”) has announced the adoption of amendments to Regulation S-P (“Amendments”) to modernize and enhance the rules that govern the treatment of consumers’ nonpublic personal...more
California employers' reprieve from obligations to employees to disclose data privacy practices and provide access rights to employees appears to be coming to an end as the California Privacy Rights Act (CPRA) becomes...more
Bill 64 largely tracks with already existing privacy regulations in other jurisdictions and will take effect over the course of the next three years, with some provisions taking effect in September 2022. On September 21...more
California Attorney General Xavier Becerra released the text of the proposed regulations for the California Consumer Privacy Act (CCPA) on Thursday, October 10. The 24 pages of regulations add additional definitions and...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 has again signaled that now is the time for investment advisers and broker-dealers to get serious about compliance with Reg. S-P. For years, the SEC’s examination priorities have included a focus on cybersecurity...more
I am hardly saying that SEC Regulation S-P is the sexiest of regulations. I mean, has any customer is history actually read one of those exciting statement stuffers that discloses in some dense font a BD’s privacy policy?...more
With California enacting a sweeping new data privacy law on June 28, now is the time for companies to review and adjust to how the California Consumer Privacy Act will impact their business. The act, which has broad...more