Now that the dust has settled a little on the BE-10 benchmark survey responses, U.S. financial service providers, including investment advisers, should take note that the U.S. Bureau of Economic Analysis (the “BEA”) has...more
9/30/2015
/ BE-180 ,
BEA ,
Benchmarks ,
Civil Monetary Penalty ,
Filing Deadlines ,
Financial Institutions ,
Form BE-10 ,
Form BE-13 ,
Investment Adviser ,
Offshore Funds ,
Reporting Requirements ,
Surveys ,
Time Extensions
In recent years, the SEC has been focused on cybersecurity. It has issued risk alerts, conducted examinations and provided guidance about what the agency sees as widespread weaknesses in many policies and procedures to...more
9/28/2015
/ Broker-Dealer ,
Cease and Desist Orders ,
Civil Monetary Penalty ,
Cyber Attacks ,
Cyber Incident Reporting ,
Cyber Threats ,
Cybersecurity ,
Data Breach ,
Data Privacy ,
Data Protection ,
Data Security ,
Enforcement Actions ,
Hackers ,
OCIE ,
Personally Identifiable Information ,
Policies and Procedures ,
Registered Investment Advisors ,
Regulation S-P ,
Risk Alert ,
Securities and Exchange Commission (SEC) ,
Security Risk Assessments