On July 29, 2022, the New York Department of Financial Services (NYDFS) published the pre-proposed second amendment to its Cybersecurity Regulations, 23 NYCRR 500 (Part 500), that if adopted, would likely require numerous...more
9/2/2022
/ Covered Entities ,
Cybersecurity ,
Enforcement ,
Exemptions ,
Financial Institutions ,
Financial Services Industry ,
Incident Response Plans ,
Multi-Factor Authentication ,
Notice Requirements ,
NYDFS ,
Policies and Procedures ,
Popular ,
Second Amendment ,
Third-Party Service Provider
The SEC, through its Office of Compliance Inspections and Examinations (“OCIE”), recently issued its most detailed cyber guidance to date. OCIE had previously issued several cybersecurity risk alerts over the past few years....more
2/13/2020
/ Corporate Issuers ,
Cybersecurity ,
Data Management ,
Incident Response Plans ,
Internal Controls ,
Investment Adviser ,
New Guidance ,
OCIE ,
Risk Alert ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Security and Privacy Controls ,
Third-Party Service Provider
On May 23, 2019, the United States Securities and Exchange Commission (“SEC”)’s Office of Compliance Inspections and Examinations (“OCIE”) issued a Risk Alert entitled “Safeguarding Customer Records and Information in Network...more
5/29/2019
/ Broker-Dealer ,
Cloud Storage ,
Customer Information ,
Cyber Threats ,
Cybersecurity ,
Data Protection ,
Data Security ,
Data Storage Providers ,
Identity Theft ,
Identity Theft Red Flags Rule ,
Investment Adviser ,
OCIE ,
Policies and Procedures ,
Popular ,
Regulation S-ID ,
Regulation S-P ,
Regulatory Requirements ,
Risk Alert ,
Safeguards Rule ,
Securities and Exchange Commission (SEC) ,
Third-Party Service Provider ,
Vendors