When AI Meets PI: Assessing and Governing AI from a Privacy Perspective
The American Privacy Right Act (APRA) explained
Navigating the Regulation Jungle: How to Be Compliant, Work Efficiently, and Stay Sane
Healthcare Document Retention
Legal Alert | Wiretap Laws in the United States
Business Better Podcast Episode: Cyber Adviser – A Comparison of AI Regulatory Frameworks
Cost of Noncompliance: More Than Just Fines
Will the U.S. Have a GDPR? With Rachael Ormiston of Osano
No Password Required: MITRE Engage Lead, Innovator in Cyber Deception, and Dance Community Builder
Navigating State Privacy Laws: A Conversation with Oregon & Texas Regulators about Privacy Enforcement
The Team Continues to Grow: A Conversation With Our Newest Colleague, Kaitlin Clemens — Unauthorized Access Podcast
Episode 326 -- Dottie Schindlinger on Diligent's Report on Board Oversight of Cybersecurity Risks and Performance
[Webinar] Midyear Data Privacy Check-in: Trends & Key Updates
Information Security and ISO 27001
Decoding Privacy Laws: Insights for Small to Mid-Sized Businesses — Regulatory Oversight Podcast
No Password Required: Education Lead at Semgrep and Former Czar for Canada’s Election Security
Navigating State Privacy Laws
[Webinar] You Are Here: First Steps in Data Mapping
Data Centers: Demand, Development, and Future Challenges With Ali Greenwood — TAG Infrastructure Talks Podcast
AGG Talks: Women in Tech Law - Episode 1: Charting the Course: Women Trailblazing in Cybersecurity and Crisis Governance
The digital revolution has transformed the banking industry. As financial services and associated communications move online, it is more important than ever for institutions to manage and control their online presence....more
Securities and Exchange Commission. Customer ID requirements. On May 13, 2024, SEC and FinCEN proposed a rule designed to make it more difficult for criminal actors to establish customer relationships with investment...more
Investment firms and other financial institutions are subject to the strict recordkeeping and communication regulations laid out by both the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange...more
The SEC is continuing its campaign to overhaul cybersecurity, cyber incident reporting, and privacy controls and requirements for financial services industry registrants, their service providers, and corporate America...more
In light of the DOJ’s most recent guidance on the use of personal devices and third-party messaging applications by corporate personnel, this White Paper addresses issues and challenges that companies are facing in this area...more
New DOL Rule Enables Consideration of ESG Factors in Investing, Plus the SEC Continues its ESG Enforcement Push in the Absence of Final SEC Rules - On November 22, the US Department of Labor (DOL) announced a final rule...more
In its April 27 Weekly Update, the Financial Industry Regulatory Authority’s (“FINRA”) National Cause and Financial Crimes Detection program urged FINRA member firms to review a cyber-threat alert arising from Russia’s...more
The regular “Weekly Update” email from the Financial Industry Regulatory Authority (“FINRA”) had an eye-catching warning February 16, urging broker-dealer member firms to heed the “Shields Up” cyber threat warning from the...more
On multiple fronts, the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) continue to increase their focus on cybersecurity. This is understandable as headlines of recent...more
In this month’s edition of our Privacy & Cybersecurity Update, we examine FINRA’s report on cloud computing, Connecticut’s new safe harbor for companies following certain cybersecurity protocols and a district court dismissal...more
Key Takeaways: ..According to FINRA, the number of reported instances involving broker-dealer fraudulent account takeovers (ATO) and related theft is on the rise. ..As set forth in recently released FINRA Regulatory...more
The U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) have each published their annual examination priorities for 2021, signaling areas of scrutiny that broker-dealers should...more
On March 4, FINRA issued a Regulatory Notice warning member firms not to fall for phishing scam preying on compliance fears. The scam uses a phony email address, supports@finra-online.com, demanding an immediate response to...more
INVESTMENT ADVISERS - Annual Compliance Reviews - All investment advisers registered with the Securities and Exchange Commission (“SEC”) or at the state level, are required to review their compliance policies and...more
Employers in the financial services sector are facing an unprecedented number of cybersecurity attacks during the pandemic crisis. To put this in perspective, the Financial Industry Regulatory Authority (FINRA) has issued...more
CYBERSECURITY - U.S. Organizations Doing Business in China Warned of Malware in Tax Software - The Federal Bureau of Investigations (FBI) and the Cybersecurity and Infrastructure Security Agency (CISA) have issued a joint...more
The Financial Industry Regulatory Authority (FINRA) recently warned financial professionals that imposters are attempting to collect personal information of investors by spoofing financial professionals’ websites, reaching...more
On August 20, FINRA warned member firms about a rash of imposter websites, using registered representative’s names, pictures, CRD numbers and other information to gull investors into providing personally-identifying...more
The Financial Industry Regulatory Authority (“FINRA”) has issued a special alert to its member firms, alerting them to an imposter website: www.finnra.org (containing an extra “n”)....more
In This Issue. The Office of the Comptroller of the Currency (OCC) proposed a rule that would establish that a national bank or federal savings association is the “true lender” of a loan if, as of the date of origination, the...more
Online fraud is a bigger business than ever in the current pandemic environment. Far from “self-isolating,” fraudsters are seeing online work as an opportunity to take advantage of firms and their customers, using stolen...more
Irrespective of your industry, the current COVID-19 pandemic poses a new and unique challenge to organizations, their employees, and their customers. The emergence of COVID-19 has prompted organizations to collect and process...more
This week FINRA issued Reg. Notice 20-08 on “Pandemic-Related Business Continuity Planning, Guidance and Regulatory Relief.”...more
FINRA held its bi-annual Cybersecurity Conference in January and recently published five take-away real-world experiences from the conference...more
The Exam Priorities of the SEC’s Office of Inspections and Compliance or OCIE, announced on January 7, 2020 (the “Exam Priorities”), should be a key area of focus for every investment advisor and investment company. The Exam...more