Matthew Friedman

Matthew Friedman

BakerHostetler

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SEC Updates Data Privacy and Cybersecurity Guidance for Registered Firms

On April 16, 2019, the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) issued a risk alert, “Investment Adviser and Broker-Dealer Compliance Issues Relating to...more

4/23/2019  /  Broker-Dealer , Cybersecurity , Data Privacy , Data Security , Investment Adviser , OCIE , Popular , Regulation S-P , Risk Alert , Securities and Exchange Commission (SEC)
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