News & Analysis as of September 18, 2024

Cybersecurity › Securities and Exchange Commission (SEC) › Analytics

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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 -

2024 Regulatory Update for Investment Advisers

Miller Canfield on 1/12/2024

In 2023, the Securities and Exchange Commission issued various proposed rules on regulatory changes that will affect SEC-registered investment advisers (RIAs). Since these rules are likely to be put into effect, RIAs should...more

The Not-So-Wild West of AI Regulation

Foley & Lardner LLP on 12/27/2023

Over the past year, we have seen the various agencies and branches of government issue a slew of rules, guidance, and directives over the use (and misuse) of Artificial Intelligence (AI). In May, the EEOC issued guidance on...more

Legal Risk Management: 5 Ways to Proactively Mitigate Risk

Reveal on 8/11/2023

Corporations must innovate and set themselves apart from their competition to achieve long-term success, but they cannot act with reckless abandon in doing so. Rather, they must strategically plan their moves to proactively...more

You Made the List: SEC’s Spring Agenda Would Impact Broker-Dealers

Faegre Drinker Biddle & Reath LLP on 6/27/2023

The SEC’s Office of Information and Regulatory Affairs recently released the Spring 2023 Unified Agenda of Regulatory and Deregulatory Actions (the Agenda). The word salad of a title hints at the fact the SEC is considering a...more

Weekly Trends Report – 1/2/2019 Insights

Association of Certified E-Discovery... on 1/3/2019

Insight into where e-discovery, information governance cybersecurity, and digital transformation are heading – who is doing what now or in the future, what works and what doesn’t, and what people wish they could do but can’t...more

SEC Speaks 2016: Enforcement Panels Double Down on Use of Data Analytics

Morgan Lewis on 2/25/2016

Data collection and analysis continue to impact SEC’s approach to enforcement. The increasing use of data analytics to jump-start investigations and enforcement efforts dominated the panel discussion at this year’s...more

SEC Announces 2016 Examination Priorities

Orrick - Finance 20/20 on 1/22/2016

On January 11, the SEC announced its Office of Compliance Inspections and Examinations’ (OCIE) 2016 priorities. New areas of focus include liquidity controls, public pension advisers, product promotion, and two popular...more

SEC’s 2016 Examination Priorities Focus on Retail Investors, Market Wide Risk and Use of Data Analytics

Proskauer - Corporate Defense and Disputes on 1/13/2016

The recently issued Examination Priorities for 2016 reveals that the SEC’s priorities are organized around the same three thematic areas as last year: (i) retail investors, including retirement investments; (ii) market-wide...more

SEC Exam Priorities for 2016

Dorsey & Whitney LLP on 1/12/2016

The SEC’s Office of Compliance Inspections and Examinations or OCIE announced its examination priorities for 2016. Those priorities generally “reflect certain practices and products that OCIE perceives to present potentially...more

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