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Cybersecurity Risks and the SEC – You'll Need "Guidance"

The Securities and Exchange Commission ("SEC") is becoming increasingly concerned with cybersecurity risks to which investment advisers may be exposed. Consequently, it has recently issued guidance ("Guidance") as to actions...more

"SEC Issues Cybersecurity Guidance for Investment Companies and Advisers"

In April 2015, the Securities and Exchange Commission (the “SEC”) Division of Investment Management issued a guidance update (the “Update”) identifying cybersecurity of registered investment companies and registered...more

SEC's Investment Management Team Issues Cybersecurity Guidance

On April 28, 2015, the SEC's Division of Investment Management released cybersecurity guidance directed at registered investment companies (“funds”) and registered investment advisers (“advisers”). The guidance focused...more

SEC Issues Cybersecurity Guidance for Registered Investment Advisers and Registered Funds

The SEC’s Division of Investment Management issued guidance highlighting the importance of cybersecurity and discussing measures that registered investment companies (“funds”) and registered investment advisers (“advisers”)...more

SEC Releases Cybersecurity Guidance, Highlights Compliance Role

The SEC’s Division of Investment Management recently released cybersecurity guidance highlighting best practices and warning that cybersecurity breaches and deficiencies in cybersecurity programs could cause funds and...more

SEC Updates Guidance on Cybersecurity

Emphasizing the critical importance of cybersecurity to registered investment companies (RICs), including insurance separate accounts and business development companies, and to investment advisers, the SEC’s Division of...more

Cybersecurity Breach: Are Board Members at Risk?

It seems a month does not pass in which some sort of breach of confidential data of a business is not announced to the public. With the increase in cybersecurity breaches, so increases board members’ exposure to litigation...more

FINRA Issues Report on Cybersecurity Practices

Following up on our post from last week on the SEC’s cybersecurity exam sweep, you should also know about FINRA’s recent report on this area. Last month, FINRA published a Report on Cybersecurity Practices that really could...more

Cybersecurity Securities Class Actions: A Wave or Trickle?

One of the foremost uncertainties in securities and corporate governance litigation is the extent to which cybersecurity will become a significant D&O liability issue. Although many D&O practitioners have been bracing for a...more

SEC’s Risk Alert Offers Observations on Cybersecurity

Why it matters - Joining a growing chorus of regulators, the Securities and Exchange Commission (SEC) released two publications addressing cybersecurity: a Risk Alert based on observations from the Office of Compliance...more

Calling All Boards of Directors: Four Recommendations from the SEC

SEC Commissioner Luis Aguilar recently spoke at the New York Stock Exchange Conference “Cyber Risks and the Boardroom.” In his speech, Commissioner Aguilar emphasized the importance of cybersecurity and how fast the need for...more

An Overview of the 2014 Class Action Survey [Video]

To read the full 2014 Class Action Survey report, please visit ClassActionSurvey.com. Fifty-two percent of major companies are currently engaged in class action litigation. This percentage has remained fairly consistent...more

Board Oversight of Cyber Security and Cyber-Security Disclosures: Answers to Some of the Key Questions

Cyber security is top of mind for companies, and cyber-security oversight is top of mind for corporate directors. I recently co-moderated a panel discussion for directors on board oversight of cyber security and...more

Do Directors Face Potential Liability For Not Preventing Cyber Attacks?

In the past weeks, we’ve reported that while most companies are properly disclosing their exposure to cybersecurity threats, the increasing occurrence and severity of cyber attacks has the SEC considering even more stringent...more

“Red Flag” Compliance Requirements Come to Investment Advisors, Broker-Dealers

It has been several years since the Federal Trade Commission’s Red Flag Rule took effect; and the banking regulators have had the Red Flag Interagency Guidance in place since 2007. Finally, entities regulated by the...more

Cybersecurity Disclosure: A Panel Discussion with the SEC’s Division of Corporation Finance

Last week in Washington, D.C., this author had the opportunity to sit in on a panel discussion by the SEC’s Division of Corporation Finance (“CorpFin”) discussing, among other things, recent developments in cybersecurity...more

To the Nation’s Largest Banks: Thanks for Reading

It seems that some of the nation’s largest public company banks must be avid readers of this blog and have taken to heart our 2013 prediction that the SEC would require greater disclosure related to data security risks and...more

SEC v. Hackers: More Cybersecurity Enforcement On The Horizon?

Cybersecurity may be the SEC’s newest area for enforcement actions. While the SEC first released Disclosure Guidance concerning cybersecurity in 2011, the recent media attention surrounding significant cybersecurity breaches...more

Enterprise Data Security For The Securities Lawyer

Assuring cybersecurity has become a necessity for businesses across all industries. Cybercrime — with over $1 trillion in annual profits — is now the most lucrative illegal global business. Any business with computers and...more

First of a series: Issues for 2013

Happy New Year! We are beginning this week with a series of top Privacy and Security issues for 2013, as we see them. Let’s start with an issue of interest to publicly traded companies, or companies considering going...more

The Evolving Obligations of Public Companies to Disclose Cyber-Intrusions

Public companies have struggled with the question of whether a cyber-intrusion triggers an obligation under the federal securities laws to disclose the intrusion to investors in a public filing. While the SEC has provided...more

It's Your Business Newsletter -- July 2012

In This Issue: Preventing Or Responding To Data Security Breaches: Is Your Information Safe?; Successor Liability – Not Your Problem, Or Is It?; and Jobs Act Opens Up New Capital Raising Alternatives for Private...more

Disclosure Bill May Put Retirees At Risk

Recently, I wrote about a bill, SB 1208 (Leno), that would require disclosure of total compensation information with respect to each of a corporation’s five most highly compensated retirees. This requirement would be imposed...more

The Facebook IPO and Disclosure of Cybersecurity and Privacy Risks: Tips and Lessons for Practitioners

Originally published by Bloomberg Finance L.P. in the Vol.6, No. 12 edition of the Bloomberg Law Reports—Securities Law. The Facebook, Inc. (Facebook) initial public offering last month was probably the most...more

Incorporating in Armenia

The article outlines the basic features of Armenian corporate law. Fundamentals of corporate formation, administration and other aspects of corporate activities are summarized in a few short paragraphs....more

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