Waldman: Stop Immunizing Websites That Allow Harassment
Investment Management Update - Focus on Data Privacy and Cybersecurity
Data Privacy: The Next Frontier of Corporate Compliance
A Moment of Simple Justice - Cameras on Cops
PREVENTING AND RESPONDING TO DATA BREACHES IN AN ERA OF CYBER INSECURITY
Why Cyber Security?
How is Graphene Currently Used and What is the Hope for the Future?
What is Graphene? Fenwick Patent Attorney Has the Answer
Are Criminal Laws the Right Response to Revenge Porn?
Bitter C-Suite: Privacy, Security and Data Protection Issues Facing Corporations, Directors and Officers
An Overview of the 2014 Class Action Survey
Jail Time for Revenge Porn Offenses?
What you need to know about Canada's new Anti-Spam Law (CASL)
BYOD (Bring Your Own Device)... *Liability and Data Breach Sold Separately
EU Data Protection Reform – Interview with Susan Foster, Member, Mintz Levin
Mobile App Series: Privacy by Design
Unique Privacy Concerns for Mobile Apps
Polsinelli Podcast - HIPAA Changes Overview
Tips for Mobile App Privacy Compliance
Safeguards against Data Security Breaches (Part One)
On November 5, 2014, the Chairman of the Commodity Futures Trading Commission, Timothy G. Massad, gave keynote remarks at the Futures Industry Association Expo 2014.
Part of Chairman Massad’s remarks focused on the...more
This legal insight summarises many key points made at the 24th Annual Credit Law Conference (Conference) held on 1-3 October 2014 and attended by over 200 delegates from the financial services industry.
Hardly a month passes without headlines of a prominent business, from retail giants like Target and Home Depot to sophisticated financial institutions like JPMorgan Chase, experiencing a data breach involving the unauthorized...more
Connecticut has added mortgage brokers, lenders, and servicing companies to the list of “financial institutions” exempted under the state’s existing law limiting credit checks for purposes of employment. The amendment, which...more
Yesterday I blogged from the Securities Enforcement Forum 2014, Bruce Carton’s excellent one-day conference, held at the Four Seasons hotel in Washington, D.C. The posts will be fairly raw, and certainly not verbatim...more
On September 30th, the Financial Industry Regulatory Authority (FINRA) announced a proposed rule that would implement the controversial Comprehensive Automated Risk Data System (CARDS). Under the proposed rule, FINRA seeks to...more
PricewaterhouseCoopers LLP (PwC) and Investor Responsibility Research Center Institute (IRRCi) have weighed in on the cybersecurity issue from an investor’s point of view in their paper called What investors need to know...more
We are pleased to present the 42nd edition of the Bernstein Shur Business and Commercial Litigation Newsletter. This month, we highlight recent cases that address controversies involving Google and privacy rights, the Foreign...more
Panelists at the PCAOB’s June 25 Standing Advisory Group Meeting discussed cybersecurity and the potential implications for financial reporting and auditing. Some of the highlights from the panel include the following...more
From time to time, a prominent CEO’s illness makes its way into the news and highlights once again one of disclosure’s trickiest issues. Most recently, Jamie Dimon, Chairman and CEO of JPMorgan Chase, disclosed that he has...more
In France, before implementing a whistleblowing process, a company must inform and consult with its employees’ representatives, inform its employees and notify the French Data Protection Agency (CNIL).
There are two...more
As reported in the May 2014 edition of Legal News: Investment Management Update, the SEC has made cybersecurity readiness a high-priority item to review when it conducts examinations of registered broker-dealers and...more
In this issue:
- Delaware Fee-Shifting Legislation Delayed
- SEC Orders Securities Exchanges and FINRA to Develop Tick Size Pilot Plan
- CFTC Extends Relief to FCMs from Certain Commingling...more
Debt collectors are using social media more and more frequently to try to track down people who owe money, but they are bound by restrictions in the Fair Debt Collection Practices Act when they do so, just as if they used...more
On June 3, 2014, the Massachusetts Securities Division released a survey to assess cybersecurity readiness and practices of Massachusetts-registered investment advisers....more
Bank of England Launches New Framework to Test for Cyber Vulnerabilities -
On June 10, the Bank of England launched a new framework to help identify areas where the financial sector could be vulnerable to sophisticated...more
In This Issue:
..SEC Begins to Scrutinize Registrants’ Cybersecurity Practices
..SEC Staff Sets Boundaries for Adviser Testimonials in Social Media
..Chair White: SEC to Tackle High-Frequency...more
While attending the "Cyber Risks and the Boardroom" Conference at the New York Stock Exchange on Tuesday, June 10, 2014, U.S. Securities and Exchange Commissioner Luis Aguilar called on corporate boards to make sure they are...more
As U.S. Securities and Exchange Commission (SEC) Chairwoman Mary Jo White recently emphasized at a Cybersecurity Roundtable sponsored by the Commission, the rise of cybersecurity threats poses an increasing risk to companies,...more
In February 2014, the Securities and Exchange Commission (SEC) once again re-opened the comment period with respect to proposed revisions to Regulation AB relating to the disclosure of asset-level data after receiving many...more
As part of its “Cybersecurity Initiative,” the SEC’s Office of Compliance Inspections and Examinations (OCIE) has sent extensive cybersecurity document requests to more than 50 registered broker-dealers and registered...more
On April 15, 2014, the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) released a National Exam Priority Risk Alert announcing its initiative to evaluate cybersecurity...more
The U.S. Securities & Exchange Commission (SEC) provided cybersecurity guidance to the securities industry in the form of a Risk Alert issued by the SEC’s Office of Compliance Inspections and Examinations (OCIE) on April 15,...more
Cybersecurity has increasingly become a critical issue for all types of businesses, few more so than broker-dealers, investment advisers and others in the financial sector. The cyber threat is much broader than customer data...more
Improper Calculation of Client Advisory Fees Results in Enforcement Action -
In a recent action (In the Matter of Transamerica Financial Advisors, Inc., Investment Advisers Act Release No....more
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