Cybersecurity Compliance

Cybersecurity is a term used to describe methods and systems for protecting sensitive information in the electronic sphere. As more financial, business, and personal information becomes exclusively maintained and... more +
Cybersecurity is a term used to describe methods and systems for protecting sensitive information in the electronic sphere. As more financial, business, and personal information becomes exclusively maintained and stored electronically, the risks of attacks, leaks, and disclosures become more pronouced. The concept of Cybersecurity encompasses a broad array of issues, including governmental regulations to ward off cyber terrorists, industry data collection and maintenance practices, and consumer advocacy to ensure the privacy of individuals' personal and medical information.     less -
News & Analysis as of

5 Useful Resources on the New EU General Data Protection Regulation (GDPR)

Data privacy lawyers and officers around the world are working to assess the implications of and implement (before May 25, 2018) the requirements contained within the recently passed General Data Protection Regulation (GDPR)....more

SEC Issues Guidance on Business Continuity Planning for Registered Investment Companies

On June 27, the staff of the Securities and Exchange Commission’s (Commission or SEC) Division of Investment Management (IM) issued a Guidance Update on business continuity planning for registered investment companies...more

[Webinar] Ethics and Cybersecurity - June 29th, 12pm CDT

With recent headlines about successful attacks on corporate computer systems, safeguarding client electronic information is an issue that all attorneys must address. This presentation will discuss the ethical rules that...more

5 Simple Ways to Boost Your E&C Program

In my recently published eBook, I outline 25 Simple Yet Overlooked Ways to Boost Your Ethics & Compliance Program. Below are five of the tips that are included—download the full eBook today to see the rest....more

Reports Reveal Four Cyber Security Trends—and the Need for Better Cyber Security Training & Awareness

?As cyber security issues continue to escalate and evolve, compliance officers have more opportunities to better protect and defend their organizations from cyber risk. One of compliance officers’ responsibilities is to stay...more

Survey says… New trends from corporate in-house counsel

Recently, Kroll and Kroll Ontrack surveyed over 170 corporate in-house counsel to share their perspectives on modern legal challenges facing organizations. We asked about some of the most pressing issues – from big data and...more

Prog Rock Week – Part VI: Bohemian Rhapsody and Compliance Week 2016

Today I conclude my celebration of progressive rock by looking at the greatest prog rock single of all-time, which, of course, is Queen’s Bohemian Rhapsody, written by Freddie Mercury. It was written for the band’s 1975...more

Manufacturing Matters - Winter 2016

Welcome to Manufacturing Matters, DLA Piper’s specialist publication providing a round-up of legal news, sector updates and commentary for clients and contacts engaged in the manufacturing sector. British manufacturers...more

[Webinar] White Collar Crimes in Indo-U.S. context: Do’s and Don’ts - Meritas Capability Webinar - Feb. 3rd, 10:00am EST

While emerging markets represent untapped growth potential and investment opportunities, there is often a sharp contrast between global best practices and compliance requirements and accepted business practices prevalent in...more

Cyber Security Compliance: The Role of the CCO

For years, cyber security has been the province of IT specialist and technicians. Those days are long gone. If you ask a Board of Directors to identify a company’s most significant risk – cyber security is tops....more

U.K. Procurement Managers to Vendors: Take Cyber Security Seriously or You’re Out

The headlines about massive cyber-security breaches just keep coming these days. Corporate giants Vodaphone, Home Depot, Talk Talk and JP Morgan Chase have all been hacked—to and they're far from the only ones.. But the...more

Upping the Ante: Cybersecurity, the SEC and the Perils of Being Unprepared

The U.S. Securities and Exchange Commission is finally getting serious about cybersecurity – and for good reason. If the ever-growing business and headline risks aren’t enough to scare investment advisers and broker-dealers...more

Investment Management Legal + Regulatory Update - November 2015

Regulation - OCIE Cautions Advisers on Outsourcing Compliance Activities: In a Risk Alert dated November 9, 2015, the SEC’s Office of Compliance Inspections and Examinations (OCIE) said it found that outsourced...more

How Can I Make Sure My Compliance Training Program Covers All My Risks?

Building a compliance training program that covers all of your organization’s risks isn’t easy. To do it in a way that ensures you cover your bases without creating training fatigue means creating a multiyear training...more

Recent Government Cyber Alert and Draft Guide for Financial Institutions: Lessons for All Organizations

All organizations, including financial institutions, continue to face significant security threats across their wide ranging IT systems. Such organizations are particularly vulnerable if they cannot track networked devices...more

Recent Amendments to Security Breach Notification Laws Further Complicate Breach Notification for Employers

It is not a matter of "if" but "when" an employer will be required to notify employees of a security breach.  Forty-seven states require employers to notify employees when defined categories of personal information, including...more

Preview of NAVEX Global’s 2015 Ethics and Compliance Virtual Conference

As 2015 draws to a close (where did the time go?), the 2016 planning season is in full swing. You likely already have an idea of initiatives you’ll want to tackle, but taking your ethics and compliance program to the next...more

A Compilation of Enforcement and Non-Enforcement Actions

Non-Enforcement - SEC Decides Against Mounting an Appeal in Koch Ruling - The July 2015 ruling by the D.C. Circuit Court in Koch v. SEC will apparently not be challenged by the SEC. The Court ruled in that...more

Are You Overcomplicating Your Cybersecurity Processes?

Yes. I just asked that. For many, the response is likely “Yes! Of course we are! It’s *&^%$% cybersecurity – it’s complicated!” To which I would respond “Touché. It is…but it needn’t be overly complicated.” So, of...more

Top EU Court’s Ruling Subjects Companies Doing Business Across Europe To “New Sanctions” in Potentially Unfamiliar Jurisdictions

The Court of Justice of the European Union (CJEU) has been very busy in recent weeks re-shaping EU privacy laws. In addition to the much-anticipated decision in “Schrems” (Case C-362/14), which essentially rules the US-EU...more

Key Takeaways from the Consumer Protection Forum

Holland & Knight and the Word of Mouth Marketing Association (WOMMA) hosted a half-day forum that featured government officials discussing hot-button issues in consumer protection regulation and enforcement. Speakers at the...more

Whom Should You Suspend During an Internal Investigation?

Whom to suspend during any Foreign Corrupt Practices Act (FCPA) investigation is always a delicate question to answer. Unfortunately there is never an easy answer. As the Volkswagen (VW) emission-testing scandal continues to...more

Could a Vendor’s Lax Info Security Ruin Your Holiday Sales? Seven Preventative Steps for Retailers

Many of the largest retailer data security breaches have been caused or enabled by the acts or omissions of retailers’ vendors, such as the widely publicized incident at Target Corporation. Several such breaches occurred...more

SEC Enforcement Actions Against Investment Advisers

According to the SEC’s most recent financial report, as of August 2014, SEC-registered investment advisers managed $62.3 trillion in assets. Not surprisingly, investment advisers attract a great deal of attention from the...more

2015-16 Compliance Developments & Calendar for Private Fund Advisers

Registered investment advisers (RIAs) are required to review their policies and procedures on at least an annual basis. As an aid to the required review and to assist with timely completion of required compliance tasks, below...more

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