Catherine Anderson

Catherine Anderson

Foley Hoag LLP

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Massachusetts Conducting Cybersecurity Practices Survey of Massachusetts-Registered Investment Advisers

On June 3, 2014, the Massachusetts Securities Division released a survey to assess cybersecurity readiness and practices of Massachusetts-registered investment advisers....more

6/19/2014 - Cybersecurity Investment Adviser Privacy Concerns Risk Assessment

SEC Issues Risk Alert on Cybersecurity Initiative for Investment Advisers

On April 15, 2014, the Office of Compliance Inspections and Examinations of the Securities and Exchange Commission (the “SEC”) issued a Risk Alert regarding the SEC’s initiative to assess cybersecurity preparedness and...more

4/24/2014 - Cybersecurity Data Protection Enforcement Actions Investment Adviser SEC

Policy Statement Released Concerning the Custody Rule for Massachusetts-Registered Investment Advisers

In light of custody-related deficiencies identified by the Massachusetts Securities Division in recent examinations of Massachusetts-registered investment advisers, the Division released a Policy Statement on November 14,...more

12/11/2013 - Compliance Custody Rule Investment Adviser Verification Requirements

Reminder -- Compliance Date for Identity Theft Red Flags Rules is November 20, 2013

As a reminder, the Identity Theft Red Flags Rules jointly adopted by the SEC and CFTC, which took effect on May 20, 2013, have an upcoming compliance date of November 20, 2013. Under these rules, certain SEC and...more

10/29/2013 - CFTC Compliance Identity Theft Red Flags Rule SEC

SEC and CFTC Jointly Adopt Identity Theft Red Flags Rules Applicable to Investment Advisers and Others

Regulation S-ID - On April 10, 2013, the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) jointly adopted identity theft red flags rules (the Rules) and corresponding...more

5/29/2013 - CFTC Compliance Dodd-Frank Identity Theft Investment Adviser Red Flags Rule SEC

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