The New York State Department of Financial Services (NYDFS) adopted comprehensive amendments to its cybersecurity regulations (known as Part 500) on Nov. 1. The draft amendments were first published in July 2022 and finalized...more
The year 2022 saw a groundswell of interest in privacy rights and related legislation. Five states enacted new laws or regulations aimed at protecting a general right to privacy, while the U.S. government came closer than...more
1/24/2023
/ Corporate Counsel ,
Cybersecurity ,
Data Privacy ,
Data Protection ,
Data Security ,
Federal Trade Commission (FTC) ,
FinCEN ,
NYDFS ,
Popular ,
Risk Management ,
Russia ,
Securities and Exchange Commission (SEC)
The Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) has published a risk alert, warning SEC-registered investment advisers, brokers and dealers about the increasing use of...more
10/1/2020
/ Broker-Dealer ,
Cyber Attacks ,
Cybersecurity ,
Data Protection ,
Financial Institutions ,
Investment Adviser ,
OCIE ,
Regulation S-ID ,
Regulation S-P ,
Risk Alert ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
We recently discussed the topic of risk management as it relates to artificial intelligence (AI) in financial services, and suggested certain tips for the financial services sector. This article is the first of a series that...more
5/2/2019
/ Algorithmic Trading ,
Artificial Intelligence ,
CFTC ,
EU ,
Financial Services Industry ,
General Data Protection Regulation (GDPR) ,
MiFID II ,
Policies and Procedures ,
Popular ,
Registered Investment Advisors ,
Risk Management ,
Robo-Advisors ,
Securities and Exchange Commission (SEC) ,
Securities Traders
Technology is rapidly changing the way investment advisers deliver services to their clients. Funds are now using a range of technology solutions, from advanced trading algorithms to artificial intelligence and machine...more
2/4/2019
/ Artificial Intelligence ,
Bias ,
Corporate Governance ,
Data Collection ,
Data Integrity ,
Data Management ,
Data Security ,
Financial Services Industry ,
FinTech ,
Investment Funds ,
Popular ,
Risk Management ,
Transparency
This Update highlights key legal and policy developments in cybersecurity and privacy law that may impact important trends for 2019 and beyond. A central takeaway from 2018 is that regulators in the U.S. and abroad are...more
1/28/2019
/ California Consumer Privacy Act (CCPA) ,
Carpenter v US ,
CLOUD Act ,
Cybersecurity ,
Data Breach ,
Data Protection ,
EU ,
Facebook ,
General Data Protection Regulation (GDPR) ,
Google ,
Hackers ,
International Data Transfers ,
Marriott ,
Microsoft ,
Personal Data ,
Personally Identifiable Information ,
Popular ,
Power Plants ,
Risk Management ,
Russia ,
Securities and Exchange Commission (SEC) ,
Stored Communications Act
Dans moins de quatre mois, le 25 mai 2018, le règlement général de l'Union européenne sur la protection des données (« RGPD ») entrera en vigueur et la loi française, actuellement en discussion devant le parlement, qui tient...more
2/5/2018
/ Data Processors ,
Data Protection ,
EU ,
EU Data Protection Laws ,
France ,
General Data Protection Regulation (GDPR) ,
Information Technology ,
International Data Transfers ,
Personal Data ,
Personally Identifiable Information ,
Risk Management