SEC Proposes and Seeks Comments on New Cybersecurity Rules -
At an open meeting on February 9, 2022, the Securities and Exchange Commission (“SEC”) voted three-to-one to propose new and amended rules regarding cybersecurity...more
2/25/2022
/ Asset Management ,
Cybersecurity ,
Data Collection ,
Disclosure Requirements ,
EDPS ,
International Data Transfers ,
Personal Data ,
Policies and Procedures ,
Popular ,
Registered Investment Advisors ,
Registered Investment Companies (RICs) ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Spyware
At an open meeting on February 9, 2022, the Securities and Exchange Commission voted three-to-one to propose new and amended rules regarding cybersecurity risk management, cyber incident reporting and cyber risk disclosure...more
The U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations issued a National Exam Program Risk Alert on May 23, 2019, which identifies security risks and best practices associated with the...more
6/10/2019
/ Broker-Dealer ,
Cloud Storage ,
Customer Information ,
Cybersecurity ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Network Security ,
OCIE ,
Policies and Procedures ,
Popular ,
Risk Alert ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Third-Party Risk ,
Vendors
The Staff of the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission released a Risk Alert on April 16, 2019, which identifies significant Regulation S-P (Reg. S-P)1...more
4/23/2019
/ Broker-Dealer ,
Compliance ,
Cybersecurity ,
Employee Training ,
Investor Protection ,
OCIE ,
Opt-Outs ,
Personally Identifiable Information ,
Policies and Procedures ,
Popular ,
Privacy Policy ,
Registered Investment Companies (RICs) ,
Regulation S-P ,
Risk Alert ,
Securities and Exchange Commission (SEC)