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Securities and Exchange Commission (SEC) › Personally Identifiable Information › Financial Services Industry

Katten Muchin Rosenman LLP

SEC Grants Further Relief From Including Personally Identifiable Information in CAT Reporting

Katten Muchin Rosenman LLP on

On February 10, the Securities and Exchange Commission (SEC) granted relief exempting industry members from reporting a natural person’s name, address, and year of birth to the Consolidated Audit Trail (CAT). Industry members...more

Holland & Knight LLP

The Impact of Cybersecurity Regulations on the Financial Services Industry in 2022

Holland & Knight LLP on

Following the SolarWinds and the Colonial Pipeline cyberattacks, the Biden Administration emphasized a shift toward mandatory cybersecurity requirements. Throughout 2021, government agencies issued new cybersecurity guidance,...more

Mintz - Securities & Capital Markets...

SEC is Sued to Stop Collection of Personal Data of Retail Investors

Mintz - Securities & Capital Markets... on

The American Securities Association (“ASA”), a financial industry trade association representing regional and small financial services companies, has sued the Securities and Exchange Commission (“SEC”) to prevent the SEC from...more

White and Williams LLP

Breaching the D&O Firewall: The Rise of Cybersecurity Regulations for Businesses and the Future Effects on D&O Insurance

White and Williams LLP on

For many D&O insurers, the risk of exposure posed by cybersecurity incidents involving their insureds has been unclear at best. Cybersecurity incidents, and the corresponding shareholder claims that follow, pose unique and...more

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