News & Analysis as of May 2, 2025

Cybersecurity › Internal Controls › Policies and Procedures

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Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk... more +

Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk management, global regulations, data protection, leaks, hacking, cyber insurance, compliance, HIPAA, and every other aspect of cybersecurity of import to corporate readers right now. less -

The Value of a Platform Approach to Compliance

NAVEX on 7/31/2024

Think of it as the compliance version of The Butterfly Effect – a small, unnoticed, action, or failure to act, somewhere in the organization that balloons over time into a much larger, material issue. Maybe an employee is...more

SEC Releases Risk Alert on EXAMS Process

Akin Gump Strauss Hauer & Feld LLP on 9/12/2023

Investment Advisers: Assessing Risks, Scoping Examinations, and Requesting Documents* I. Introduction - The SEC-registered investment adviser (“adviser”) population is large and diverse, ranging from global asset managers...more

Matt Kelly on Cybersecurity and Suppliers

Health Care Compliance Association (HCCA) on 3/3/2022

Matt Kelly, Editor & CEO of Radical Compliance makes a strong case in this podcast for a need to reassess cyber risk. It is becoming, he says, less of a technical issue and more about how companies interact with others: ...more

IT and Corporate Compliance: Bridging the Gap in the Era of Remote and Hybrid Work

NAVEX on 10/20/2021

In many ways, the COVID-19 pandemic has served as a prime example of punctuated equilibrium. Shifts that have been slowly building for decades seemingly occurred overnight, giving us the contradictory sense that these changes...more

Strengthening US Cybersecurity: Impacts of the Executive Order

NAVEX on 6/4/2021

An executive order was signed on May 12, directing the federal government to overhaul its approach to cybersecurity. Corporate compliance and risk management professionals should consider this order carefully — because, in...more

Third-Party Risk Management: 5 Reasons to Monitor Cybersecurity Risk in Real Time

NAVEX on 2/1/2021

In today’s business landscape, it is nearly impossible to work alone. You have to collaborate with clients, vendors, suppliers, specialists, and plenty of other partners all considered third parties to your organization. As a...more

4 Ways to Protect ePHI Beyond HIPAA Compliance

NAVEX on 8/14/2020

Given the choice between credit card data and digital health records, cybercriminals prefer the latter. A stolen credit card can be canceled. Electronic protected health information (ePHI) with its treasure-trove of...more

[Virtual Event] Higher Education Compliance Conference - June 1st - 3rd

Society of Corporate Compliance and Ethics... on 5/7/2020

Due to the COVID-19 pandemic, our Higher Education Compliance Conference will be held virtually. Attendees will enjoy Higher Education compliance sessions and industry updates in an interactive, online experience, plus have...more

Top 10 Topics for Directors in 2020: Cybersecurity

Akin Gump Strauss Hauer & Feld LLP on 3/6/2020

Cybersecurity and Privacy - Despite cries from corporations and privacy advocates across America for a unified federal privacy law, the nation’s toughest privacy law—the California Consumer Privacy Act (CCPA)—went into...more

Recent FinCEN Advisory Details Dramatic Increase in Frequency and Severity of Business Email Compromise Fraud Schemes

Faegre Drinker Biddle & Reath LLP on 7/22/2019

On July 16, 2019, the U.S. Treasury Department’s Financial Crimes Enforcement Network (“FinCEN”) issued an “Updated Advisory on Email Compromise Fraud Schemes Targeting Vulnerable Business Processes” (the “Advisory”). The...more

Podcast: Cybersecurity and the Boardroom

Akin Gump Strauss Hauer & Feld LLP on 3/20/2019

In this episode, the third of three building on Akin Gump’s annual Top 10 Topics for Directors report, partner Michelle Reed discusses the critical question of cybersecurity and the corporate world. Among the topics covered: ...more

NFA Issues Interpretive Notices for CPOs Regarding Internal Controls Systems and Cybersecurity

Akin Gump Strauss Hauer & Feld LLP on 1/15/2019

• The NFA has determined that registered CPOs must implement an internal controls system and highlighted best practices for such a framework. • In response to certain frequently asked questions, the NFA has also updated its...more

SEC 21(a) Report Warns Public Company Email Scam Victims of Bigger Problems Than Stolen Money

Perkins Coie on 10/26/2018

Known by many names, including business email compromise fraud, CEO or CFO fraud, impersonation attacks, or “Man-in-the-Email” scams, cyber-related frauds involving spoofed or otherwise compromised business electronic...more

SEC Issues Report Warning about Fake Email Scams

Bass, Berry & Sims PLC on 10/19/2018

On October 16, 2018, the SEC issued a 21(a) report announcing that it had investigated whether certain public companies that were victims of oftentimes unsophisticated, cyber-related frauds had violated federal securities...more

Don’t Let Spoofing Fool You – SEC Says Internal Accounting Controls Should Address Cyber Threats

Bass, Berry & Sims PLC on 10/19/2018

On October 16, 2018, the SEC released an Investigative Report detailing recent email spoofing schemes that caused nine public companies to lose a total of nearly $100 million. Building on its February 2018 guidance about the...more

SEC Warns Companies of Potential Internal Accounting Control Violations with Business Email Compromise

Akin Gump Strauss Hauer & Feld LLP on 10/19/2018

• The SEC issued guidance in the form of a rare “21(a) report” this week after investigating a series of email frauds impacting 9 unnamed companies. • These email-based frauds, referred to as “CEO scams” or “vendor scams,”...more

SEC Announces Second Wave of Cyber Exams of Broker Dealers and Advisors – Is Your Firm Ready?

Snell & Wilmer on 10/17/2015

In April 2014, the Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) issued a Risk Alert announcing its first cybersecurity sweep initiative. Pursuant to that initiative,...more

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