Antony Kim

Antony Kim

Orrick, Herrington & Sutcliffe LLP

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Latest Posts › Enforcement


Going for Brokerages: FINRA and SEC Take Aim at Deficient Cyber Policies and Practices

On Feb. 3, the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) each released reports regarding cybersecurity issues for brokerage and advisory firms, both of which should be...more

6/18/2015 - Broker-Dealer Brokers C-Suite Executives Cybersecurity Enforcement FINRA Industry Examinations Information Reports Investment Adviser OCIE Popular Risk Assessment SEC

Recent Privacy Developments: California AG Continues to Lead on Mobile with New Recommendations and FTC Amends COPPA

Nearly all businesses today are involved in some way in the development or distribution of mobile applications. The first part of this Client Alert highlights recent activities of the California State Attorney General to...more

1/15/2013 - Advertising App Platform Providers Attorney Generals COPPA Data Collection Enforcement FTC Kamala Harris Mobile Apps Mobile Ecosystems Notice Requirements Online Privacy Protection Act Parental Consent Personally Identifiable Information Privacy Policy

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