Cybersecurity, Securities and Exchange Commission (SEC), Information Security

Preparing for Evolving Cybersecurity Threats

McDermott Will & Emery on 4/15/2024

The recent ransomware attack against the Duvel Moortgat Brewery demonstrated the very real risk that cybersecurity incidents pose to the alcohol industry, reportedly halting operations for several days at four of Duvel...more

Top 5 SEC Developments (October 2023)

Morrison & Foerster LLP on 11/20/2023

Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. This month we examine: • Fraud and internal control failure charges against...more

Client Alert: The SEC Charges SolarWinds and Its CISO with Fraud: Key Takeaways

Jenner & Block on 11/3/2023

This week, the SEC filed a high-profile litigation asserting fraud and internal controls charges against software company SolarWinds Corporation and its Chief Information Security Officer, Timothy G. Brown, in connection with...more

SEC’s 2024 Examination Priorities for Broker-Dealers

Lowenstein Sandler LLP on 10/26/2023

On October 16, 2023, the U.S. Securities and Exchange Commission (“SEC”) Division of Examinations (the “Division”) released its annual Examination Priorities for fiscal year 2024 (the (“Report”), marking the first time the...more

US Securities and Exchange Commission Increases Focus on Cybersecurity

Mayer Brown Free Writings + Perspectives on 10/15/2021

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

SEC Makes Cybersecurity Top Priority; Sanctions Firms for Cybersecurity Failures

Goodwin on 9/16/2021

There is little doubt that the U.S. Securities and Exchange Commission is making cybersecurity a top priority. SEC Chair Gary Gensler told a Senate committee on Tuesday, September 14, 2021 that the agency is developing a...more

Cyber Still Atop Exam Priorities

Burr & Forman on 2/27/2020

FINRA held its bi-annual Cybersecurity Conference in January and recently published five take-away real-world experiences from the conference...more

SEC To Focus on Cybersecurity in 2019

Sheppard Mullin Richter & Hampton LLP on 3/28/2019

For the fourth year running, the Securities and Exchange Commission’s Office continues to list cybersecurity as one of the top enforcement priorities for 2019. As it relates to cybersecurity, the SEC will be focusing on...more

Orrick's Financial Industry Week in Review

Orrick, Herrington & Sutcliffe LLP on 7/18/2016

Federal Reserve Announces Extension of Conformance Period under Section 13 of the Bank Holding Company Act - On July 7, 2016, the Federal Reserve announced that it will extend until July 21, 2017 the conformance period...more

National Futures Association Proposes Cybersecurity Guidance for NFA Member Firms

Morgan Lewis on 9/8/2015

NFA links NFA’s supervisory requirements with its proposed requirements mandating that NFA Members have information systems security programs. The National Futures Association (NFA) has proposed cybersecurity...more

A Firewall for the Boardroom: Best Practices to Insulate Directors and Officers From Derivative Lawsuits and Related Regulatory...

Carlton Fields on 8/17/2015

Shortly after the massive 2013 Target data breach, shareholders filed four derivative lawsuits against the company’s directors and some of its officers (13 CARE 624, 3/20/15). The shareholders alleged that the defendants had...more

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