News & Analysis as of September 26, 2024

Cybersecurity › Investment Companies

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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 -

SEC Imposes New Cybersecurity Requirements on Broker-Dealers, Investment Companies, Registered Investment Advisers, and Transfer...

Latham & Watkins LLP on 8/12/2024

Covered institutions will need to review their cybersecurity and incident response policies and procedures ahead of the applicable compliance deadline. ...more

SEC Imposes New Cybersecurity Requirements on BrokerDealers, Investment Companies, Registered Investment Advisers, and Transfer...

Latham & Watkins LLP on 8/9/2024

Covered institutions will need to review their cybersecurity and incident response policies and procedures ahead of the applicable compliance deadline. The Securities and Exchange Commission (SEC) recently adopted...more

SEC Adopts Rule Amendments to Regulation S-P to Safeguard Customer Information and Enhance Cybersecurity Procedures at Financial...

McCarter & English, LLP on 6/7/2024

On May 16, 2024, the Securities and Exchange Commission (SEC) adopted amendments to Regulation S-P to “modernize and enhance the rules that govern the treatment of consumers’ nonpublic personal information by certain...more

SEC Amends Privacy Rule to Establish Data Breach Notification Standard

Orrick, Herrington & Sutcliffe LLP on 5/28/2024

The Securities and Exchange Commission (SEC) has amended its privacy rule – Regulation S-P – to establish a federal minimum standard for covered institutions to notify affected individuals of a data breach....more

SEC Adopts Amendments to Regulation S-P That Require Reporting Breaches of "Sensitive Customer Information"

Davis Wright Tremaine LLP on 5/28/2024

On May 15, the Securities and Exchange Commission adopted amendments to Regulation S-P, which covers broker-dealers, registered investment advisors (RIAs), and investment companies (funds). These entities are now required to...more

SEC Issues Updated Fall 2023 Regulatory Agenda

Seward & Kissel LLP on 12/13/2023

Who may be interested: Registered Investment Companies, Investment Advisers - Quick Take: The Office of Information and Regulatory Affairs, a division of the Office of Management and Budget, recently issued the Fall 2023...more

SEC Announces Robust Fiscal Year 2023 Enforcement Results

Seward & Kissel LLP on 11/30/2023

Who may be interested: Registered Investment Companies; Directors of Registered Investment Companies; and Investment Advisers - Quick Take: The SEC’s Division of Enforcement (Enforcement) released a report summarizing its...more

SEC Outlines 2024 Examination Priorities

Latham & Watkins LLP on 11/3/2023

The priorities highlight emerging and core risk areas for investment advisers, broker-dealers, and other entities, including cybersecurity and crypto assets. On October 16, 2023, the Securities and Exchange Commission’s...more

Thorough Exam: SEC's Division of Examinations Announces Fiscal Year 2024 Priorities

Holland & Knight LLP on 10/26/2023

Amid ongoing federal government shutdown risks and the close of its fiscal year, the U.S. Securities and Exchange Commission's (SEC) Division of Examinations (Exams) recently announced its fiscal year (FY) 2024 priorities....more

The SEC's Proposed Cybersecurity Rules: Regulatory Delay Does Not Bless Standing By

BakerHostetler on 7/21/2023

The SEC’s Cybersecurity Proposals - The SEC has proposed four rules designed to address cybersecurity risk and management, including incident reporting by public companies....more

You Made the List: SEC’s Spring Agenda Would Impact Broker-Dealers

Faegre Drinker Biddle & Reath LLP on 6/27/2023

The SEC’s Office of Information and Regulatory Affairs recently released the Spring 2023 Unified Agenda of Regulatory and Deregulatory Actions (the Agenda). The word salad of a title hints at the fact the SEC is considering a...more

Bermuda Regulatory Outlook 2023

Conyers on 4/3/2023

An old adage says that the only things in life that are certain are death and taxes. We think regulatory changes can surely be added to that list. A number of regulatory updates will affect Bermuda entities this year, and we...more

Investment Advisers, Broker-Dealers, and Other Financial Industry Participants Take Note: SEC Demonstrates Commitment to...

Lowenstein Sandler LLP on 3/30/2023

On March 15, 2023, the Securities and Exchange Commission (“SEC”) issued three releases proposing (i) amendments to Regulation S-P (“Regulation S-P Proposal”)1, (ii) amendments to Regulation SCI (“Regulation SCI Proposal”)2,...more

Changing of the Guard? SEC Proposes Significant Amendments to the Safeguards Rule

Holland & Knight LLP on 3/23/2023

The SEC continued its recent onslaught of proposed cybersecurity rules in mid-March with three new proposals covering a litany of entities, including investment advisers, broker-dealers, investment companies, clearing...more

SEC Proposes Enhancements to Regulation S-P

Kilpatrick on 3/22/2023

Last week, the Securities and Exchange Commission (the “SEC”) proposed amendments to Regulation S-P (the “Proposal”) that would require registered investment advisers (“RIAs”), broker-dealers (“BDs”), investment companies...more

SEC Proposes Rash of New Rules on Cybersecurity

Lowenstein Sandler LLP on 3/20/2023

In its efforts to address cybersecurity risks, the U.S. Securities and Exchange Commission (“SEC”) continues to propose rules on cybersecurity. Most recently, on March 15, 2023, the SEC announced its proposal of three...more

Dechert Cyber Bits - Issue 22

Dechert LLP on 10/14/2022

SEC Chair Gensler Indicates Commission is Looking to Update SEC’s Regulation S-P - On September 28, 2022, Securities and Exchange Commission (“SEC” or the “Commission”) Chairman Gary Gensler appeared via video at the...more

SEC Proposes New Cybersecurity Disclosure Rules

A&O Shearman on 3/16/2022

On March 9, 2022, the Securities and Exchange Commission (SEC) proposed rules that would require disclosure of the occurrence of, and developments related to, material cybersecurity incidents. The proposed rules would also...more

SEC Proposes Mandatory Cybersecurity Disclosure Rules

White & Case LLP on 3/15/2022

On March 9, 2022, the Securities and Exchange Commission ("SEC") proposed rules that would require public companies to make prescribed cybersecurity disclosures. The proposed rules would "strengthen investors' ability to...more

SEC Cements Expectations for Investment Advisers’ and Investment Companies’ Cyber Preparedness and Disclosure

Alston & Bird on 3/14/2022

Our Privacy, Cyber & Data Strategy and Investment Management, Trading & Markets Teams review the Securities and Exchange Commission’s potentially transformative proposed rules that would require registered investment...more

SEC Proposes New Public Company Cybersecurity Disclosure Rules

WilmerHale on 3/11/2022

On March 9, 2022, the SEC proposed rules, by a 3-1 vote, that are intended to enhance disclosures about cybersecurity risk management, strategy, governance, and incident reporting by public companies. The proposed rules are...more

SEC proposes cybersecurity risk management rules for investment advisers, funds and business development companies

Eversheds Sutherland (US) LLP on 3/3/2022

The Securities and Exchange Commission (SEC) has joined a host of other regulators in doubling down on efforts to protect against the rapidly intensifying cyber threats - with important implications for all SEC-registered...more

SEC Proposes New Cybersecurity Risk Management Regime for Registered Funds and Advisers

Perkins Coie on 3/2/2022

In today’s asset management landscape, cybersecurity threats are omnipresent, and with constantly evolving tools of attack, actual breaches have become increasingly prevalent. As the complexity, scope, and frequency of cyber...more

SEC Proposes Substantial New Cybersecurity Requirements for Investment Advisers and Companies

Holland & Knight LLP on 2/24/2022

Following U.S. Securities and Exchange Commission (SEC) Chairman Gary Gensler's recent speech directing the agency to expand cybersecurity requirements on regulated entities, the SEC on Feb. 9, 2022, voted to propose new...more

SEC Proposes Cybersecurity Risk Management Rules for Advisers and Funds

Morgan Lewis on 2/24/2022

The US Securities and Exchange Commission (SEC) recently proposed a comprehensive framework of cybersecurity-related rules and amendments for investment advisers and investment companies. Although advisers and funds may have...more

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Cybersecurity › Investment Companies

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