A Securities and Exchange Commission (“SEC”) plan to create a registration exemption for certain finders has generated a mixed response. The nearly 90 comments received by the SEC by the November 12, 2020 close of the comment...more
Earlier this month, the Securities and Exchange Commission (“SEC”) took a break from its recent focus on digital assets and the Best Interest fiduciary standard to publish a Risk Alert encouraging investment advisers and...more
4/30/2019
/ Broker-Dealer ,
Customer Information ,
Cybersecurity ,
Data Privacy ,
Data Protection ,
Data Security ,
Investment Adviser ,
OCIE ,
Opt-Outs ,
Policies and Procedures ,
Privacy Policy ,
Regulation S-P ,
Regulatory Requirements ,
Risk Alert ,
Securities and Exchange Commission (SEC)
The Security and Exchange Commission’s (“SEC”) recent $1 million settlement with Morgan Stanley Smith Barney LLC (“MSSB”) marked a turning point in the agency’s focus on cybersecurity issues, an area that the agency has...more
7/2/2016
/ Broker-Dealer ,
Civil Monetary Penalty ,
Criminal Prosecution ,
Customer Funds Protection ,
Cybersecurity ,
Data Breach ,
Enforcement Actions ,
Investment Adviser ,
Misappropriation ,
Morgan Stanley ,
Personally Identifiable Information ,
Regulation S-P ,
Securities and Exchange Commission (SEC) ,
Settlement