This past summer’s string of cyber enforcement actions signals that cybersecurity has become a top priority for the US Securities and Exchange Commission (“SEC”). This focus is consistent with the SEC’s Division of...more
10/15/2021
/ Broker-Dealer ,
Cyber Attacks ,
Cybersecurity ,
Data Breach ,
Data Protection ,
Failure To Disclose ,
Gramm-Leach-Blilely Act ,
Information Security ,
Investment Management ,
Personally Identifiable Information ,
Policies and Procedures ,
Popular ,
Publicly-Traded Companies ,
Securities and Exchange Commission (SEC) ,
Securities Violations
On November 2, 2020, the U.S. Securities and Exchange Commission (“SEC”) Division of Enforcement staff published its annual enforcement report for fiscal year 2020. This has been an unprecedented year, including for the SEC’s...more