News & Analysis as of September 23, 2024

Cybersecurity › Securities and Exchange Commission (SEC) › Information Governance

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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 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 -

Final Amendments to Regulation S-P under Securities Exchange Act of 1934

Hinckley Allen on 5/28/2024

On May 15, 2024, the Securities and Exchange Commission (the “SEC”) issued final amendments (the “Amendments”) to Regulation S-P (originally adopted in 2000), which governs the treatment of a customer’s nonpublic personal...more

Midyear observations on the board agenda - Based on insights from the 2024 Board Leadership Conference

KPMG Board Leadership Center (BLC) on 5/23/2024

Approaching midyear, business leaders are bullish on growth and the opportunities ahead. At the same time, the macro forces of GenAI, climate change, a multipolar geopolitical landscape and the erosion of trust and healthy...more

[Webcast Transcript] Notable Trends in US Privacy Law

HaystackID on 2/29/2024

Editor’s Note: On January 17, 2024, HaystackID hosted a cogent webcast, “Notable Trends in US Privacy Law,” featuring HaystackID privacy and compliance expert Chris Wall, and an esteemed panel of privacy and compliance...more

Data Privacy + Cybersecurity Insider - January 2024 #2

Robinson & Cole LLP on 1/12/2024

CYBERSECURITY - SEC’s Hacked X Account Leads to Tumultuous Bitcoin Market - The Securities and Exchange Commission has confirmed that its X account “was compromised, and an unauthorized post was posted.” The SEC...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

SEC Adopts Final Cybersecurity Rules for Public Companies

Mintz - Privacy & Cybersecurity Viewpoints on 8/2/2023

In a narrow 3-2 decision on July 26, the SEC adopted its final rule concerning cybersecurity risk management, strategy, governance, and incident disclosure (the “Final Rule”). Below we highlight some of the principal changes...more

SEC Delays Finalized Cybersecurity Rules until Fall 2023

Paul Hastings LLP on 6/29/2023

Based on recent changes to its rulemaking agenda, the Securities Exchange Commission has postponed the much anticipated release of its final rules for Cybersecurity Risk Management, Strategy, Governance and Incident...more

The Board is Set: Preparing for the SEC’s Upcoming Cybersecurity Rules

Paul Hastings LLP on 5/16/2023

It has been a full year since the initial comment period closed on the Securities and Exchange Commission’s (“SEC”) proposed rule on cybersecurity disclosure, governance, and risk management for public companies (the...more

Quick communication and long-term legal risk

Array on 4/24/2023

In a recent report from Thomson Reuters, legal department leaders named regulatory compliance a top strategic priority. The emphasis on compliance has increased significantly since 2019, when it was rated the fifth-most...more

Cooperation Standards in Government Investigations: Practical Tips

HaystackID on 1/17/2023

Editor’s Note: From time to time, ComplexDiscovery highlights publicly available or privately purchasable announcements, content updates, and research from cyber, data, and legal discovery providers, research organizations,...more

[Webcast Transcript] From Strategy to Tactics: Data Remediation at Private Equity and Hedge Funds

HaystackID on 4/29/2022

On April 20, HaystackID shared an educational webcast developed to discuss best practices for handling big data and provide tangible field-experienced methods for data remediation. These best practices can be implemented at...more

[Webcast] From Strategy to Tactics: Data Remediation at Private Equity and Hedge Funds

HaystackID on 4/14/2022

HaystackID Educational Webcast The SEC recently proposed significant changes for PE reporting requirements. Whether these amendments are adopted or not, one thing is for sure; all alternative investment organizations are on...more

Cyber Still Atop Exam Priorities

Burr & Forman on 2/27/2020

FINRA held its bi-annual Cybersecurity Conference in January and recently published five take-away real-world experiences from the conference...more

SEC Releases Cybersecurity and Resiliency Observations: A Potentially Useful Guide for Businesses

Hogan Lovells on 2/7/2020

In today’s connected world, businesses face constant pressure to improve their cybersecurity practices and to confirm that they are meeting industry standards. To continue helping businesses achieve those goals, the SEC...more

SEC Examiners Release Cyber Observations: What You Need To Know

Bracewell LLP on 2/6/2020

On January 27, 2020, the SEC’s Office of Compliance Inspections and Examinations (OCIE) announced its most recent Cybersecurity and Resiliency Observations. This report highlights specific practices that have been, and can be...more

SEC Publishes Report on Cybersecurity and Resiliency

Morgan Lewis on 2/5/2020

The US Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE) published a report on January 27 outlining various industry practices and approaches to managing and combating...more

The SEC Issues Warnings to Companies to Review Controls to Prevent Wire Fraud Hacking Attempts

Wilson Sonsini Goodrich & Rosati on 11/1/2018

In an October 16, 2018 investigation report, the Securities and Exchange Commission found that nine companies that suffered Business Email Compromise, or BEC, had insufficient internal controls to prevent such attacks....more

SEC Brings Enforcement Action Against Broker-Dealer For Deficient Cybersecurity Procedures

A&O Shearman on 10/2/2018

On September 26, 2018, the United States Securities and Exchange Commission (“SEC”) announced a $1 million settlement with an Iowa-based broker-dealer over allegations that it maintained deficient cybersecurity policies and...more

SEC Cybersecurity Update

Proskauer on Privacy on 10/20/2015

Results from the SEC’s First Round of Cybersecurity Examinations - On February 3, 2015, the OCIE published a risk alert summarizing its findings from its examinations of over 100 registered investment advisers and...more

SEC Announces Second Wave of Cyber Exams of Broker Dealers and Advisors – Is Your Firm Ready?

Snell & Wilmer on 10/17/2015

In April 2014, the Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) issued a Risk Alert announcing its first cybersecurity sweep initiative. Pursuant to that initiative,...more

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