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Cybersecurity Securities & Exchange Commission

Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk... more +
Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk management, global regulations, data protection, leaks, hacking, cyber insurance, compliance, HIPAA, and every other aspect of cybersecurity of import to corporate readers right now.   less -

What Can We Tell About the Trump Administration’s Focus on Compliance?

There are a few early signs that the Trump administration will continue to hold companies to the “way of compliance,” as our colleague Jane Lewis-Raymond put it recently on this blog. But after the first four months of his...more

This Week In Securities Litigation

by Dorsey & Whitney LLP on

Chairman Clayton continued to build the senior staff this week, appointing Acting Enforcement Division Director Stephanie Avakian and Sullivan and Cromwell partner Steven Peikin as Co-Directors of the Division of Enforcement....more

Global Privacy & Cybersecurity Update Vol. 14

by Jones Day on

New York Attorney General Announces Record Number of Data Breach Notices in 2016 - On March 21, 2017, the New York Attorney General's Office announced that it received 1,300 reported data breaches in 2016—a 60 percent...more

Privacy & Cybersecurity Update - May 2017

In this edition of our Privacy and Cybersecurity Update, we take a look at the Trump administration's executive order outlining its cybersecurity plans, Acting FTC Chairwoman Maureen Ohlhausen's comments on the possible...more

SEC Issues Guidance in Wake of WannaCry Ransomware Attack

by McGuireWoods LLP on

On Friday, May 12, the WannaCry ransomware attack struck hundreds of thousands of users across the globe, causing major disruptions in private and public networks. The attack, which encrypts a user’s files and holds them for...more

New York & Colorado Propose “New” Cybersecurity Regulations for Broker-Dealers

by Wilson Elser on

In the wake of the promulgation of new cybersecurity regulations by New York State’s Department of Financial Services, Colorado has proposed cybersecurity regulations for broker-dealers, investment advisers and other fund...more

Compliance into the Weeds-Episode 39, Disclosure of Ransomware Attacks

by Thomas Fox on

In this episode Matt Kelly and I take a deep dive into the question of whether a company has a duty to disclose ransomware attacks. We consider it from the regulatory, legal, ethical, law enforcement, business, PR and some...more

SEC Issues Ransomware Risk Alert Highlighting Cybersecurity Best Practices

On May 17, 2017, the U.S. Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE) published a Risk Alert regarding the “WannaCry” ransomware worm that infected hundreds of thousands...more

OCIE Publishes Risk Alert In Response to WannaCry Ransomware

by Dechert LLP on

The Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) issued a National Exam Program Risk Alert (Risk Alert) on May 17, 2017 in response to “WannaCry,” the ongoing...more

SEC Cybersecurity Risk Alert Urges Firms to Protect Against Ransomware

by BakerHostetler on

On May 17, 2017, the Office of Compliance Inspections and Examinations (OCIE) of the United States Securities and Exchange Commission (SEC) issued a risk alert highlighting the importance of registered broker-dealers,...more

SEC Emphasizes Cybersecurity Preparedness in Wake of Global Ransomware Attack

by Ballard Spahr LLP on

The U.S. Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) has issued a Risk Alert in the wake of the widespread WannaCry ransomware attack that has inflicted hundreds of thousands...more

SEC Warns of Ransomware Attacks

The U.S. Securities and Exchange Commission is asking broker-dealers, investment advisers and funds to redouble their cybersecurity efforts in wake of the global cyber-attack of the WannaCry virus that has spread to more than...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

With oil markets again in free fall, Saudi Arabia and Russia have agreed to cut production, and industry experts expect that the rest of OPEC may soon follow suit....more

SEC Hints that Enforcement Actions on Lax Cybersecurity Might Be Coming

by Nossaman LLP on

With the confirmation of Jay Clayton as the Chair of the Securities and Exchange Commission, comments made last month by the Acting Enforcement Director, Stephanie Avakian, regarding the importance of accurate reporting in...more

Funds Talk: May 2017 - CFTC Among Regulators Demanding Cybersecurity Vigilance

While the Securities and Exchange Commission (SEC) has garnered significant attention for its increased efforts and focus on regulating and enforcing enhanced cybersecurity measures within the U.S. financial markets, the...more

Cybersecurity Disclosures: A How-To Guide

by Bryan Cave on

In October of 2011, the U.S. Securities and Exchange Commission (“SEC”) issued guidance regarding a public company’s obligations to disclose cybersecurity risks and cyber incidents (the “Cybersecurity Disclosure Guidance”)....more

Cybersecurity and the New Trump Administration: Your Top Ten Questions Answered

by Foley & Lardner LLP on

Since President Trump’s inauguration, cybersecurity has been in the news almost daily – often on the front page. The U.S. Government is facing a wide array of challenges in cybersecurity, impacting both domestic and foreign...more

Colorado Proposes Cybersecurity Rules for Investment Advisers, Broker-Dealers

by Ballard Spahr LLP on

The Colorado Division of Securities recently issued proposed rules directed at establishing cybersecurity requirements for broker-dealers and investment advisers. The proposed rules were issued only a month after New York...more

Colorado Proposes New Cybersecurity Rules For Financial Advisers

by Dentons on

Earlier this month, the Colorado Division of Securities released a set of proposed changes to the Colorado securities laws that would, if adopted, impose strict cybersecurity requirements on investment advisers and...more

Who Does What: Broker Dealers | Registered Investment Advisers | Commodities/Futures Entities

by Fox Rothschild LLP on

At Fox Rothschild LLP, we have a wealth of experience in creating and forming broker-dealers, registered investment advisers, commodity entities and various hedge funds. Over the years, our strategy has been to work with our...more

"Cybersecurity Trends for Boards of Directors"

Cybersecurity has in recent years become an integral component of a board’s role in risk oversight, but directors often find themselves in unfamiliar territory when it comes to formulating policies and oversight processes...more

Corporate E-Note - March 2017

by Burr & Forman on

Burr & Forman recently defended the contract manufacturer XYMOGEN, Inc. in a federal jury trial involving a $16,000,000 lost profits claim by a disgruntled former customer. Please see full E-Note below for more...more

Legal Issues Business Leaders Need to Know in 2017

by Arnall Golden Gregory LLP on

Expanding wage and hour obligations will continue to be a top concern for employers in 2017. As most employers are aware, in May 2016, the United States Department of Labor issued its long-awaited final rule regarding the...more

Market Solutions, Volume 26, No. 1

by Morrison & Foerster LLP on

Sanctions: Will the Trump Administration Stay the Course? President Trump made many statements during the campaign regarding actions he plans to take to reverse Obama administration sanctions policies. These included...more

Asset Managers: Are You Ready for Your Exam? Steps You Should Take Now

by Sullivan & Worcester on

Last week we told you about the five biggest pet peeves of the SEC’s Office of Compliance Inspections and Examinations (OCIE) when examining investment advisers. This week, we want to get you ready for your exam. Here are the...more

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Cybersecurity

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