News & Analysis as of September 23, 2024

Vendors

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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 -

5 GRC Trends and Resolutions for a More Secure 2024

Mitratech Holdings, Inc on 1/17/2024

Elevate your resilience in the new year by understanding top GRC trends, patterns, and best practices across AI, TPRM, cyber risk, and more. As we step into 2024, technological advancements and an increasingly connected —...more

SEC Proposes to Expand Reg SCI

WilmerHale on 5/9/2023

The Securities and Exchange Commission (SEC) proposes to amend Regulation Systems Compliance and Integrity (Reg SCI) to update and expand the regulatory oversight of the core technology of the U.S. securities markets.1 The...more

Private Fund Advisers 2023 Regulatory Outlook

Morrison & Foerster LLP on 1/16/2023

Sponsors and managers of private funds must attend to various routine regulatory and compliance tasks, which can include ongoing reporting obligations under the Investment Advisers Act of 1940 (the “Advisers Act”), updating...more

FINRA Fines Broker-Dealer for Sharing Customer Data with Third-Party Vendor

Mintz - Employment Viewpoints on 5/1/2020

Kestra Investment Services LLC (“Kestra”) was fined $125,000 by FINRA for sharing personal customer data with a third-party vendor. Kestra had engaged the vendor to assist newly hired brokers with the transfer of customer...more

SEC and FINRA Signal Renewed Focus on Vendor Management in Two Key Areas: Cybersecurity and Market Access Rule Compliance

Sheppard Mullin Richter & Hampton LLP on 2/28/2020

The Securities and Exchange Commission (“SEC”) and Financial Industry Regulatory Authority (“FINRA”) recently issued guidance in connection with firms’ relationships with third-party service providers. These publications...more

2020/02/13 OCIE Releases 2020 Cybersecurity Observations

Dechert LLP on 2/14/2020

The Office of Compliance Inspections and Examinations of the Securities and Exchange Commission released cybersecurity and resiliency-related examination observations on January 27, 2020, based on “thousands of examinations...more

Cybersecurity: the SEC Provides Guidance on Well-Known and Emerging Best Practices

Kramer Levin Naftalis & Frankel LLP on 2/13/2020

At the end of January, the U.S. Securities and Exchange’s Office of Compliance Inspections and Examinations (OCIE) released its “Observations on Cybersecurity and Resiliency Practices” (Observations)....more

SEC Releases Detailed Set of “Cybersecurity and Resiliency Observations”

Alston & Bird on 2/11/2020

On January 28, 2020, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) released a detailed set of observations culled from thousands of examinations of registered investment advisers, broker-dealers,...more

SEC Releases Cybersecurity Observations and Guidance - The SEC's Office of Compliance Inspections and Examinations ("OCIE")...

Jones Day on 2/10/2020

On January 27, 2020, OCIE issued a report detailing cybersecurity and resiliency observations the staff made after "thousands of examinations of broker-dealers, investment advisers, clearing agencies, national securities...more

OCIE Publishes Cybersecurity and Resiliency Observations

Proskauer Rose LLP on 2/10/2020

Background - On January 27, 2020, the U.S. Securities and Exchange Commission's Office of Compliance Inspections and Examinations ("OCIE") published its Cybersecurity and Resiliency Observations. Cybersecurity and data...more

SEC Releases Cybersecurity and Resiliency Observations: A Potentially Useful Guide for Businesses

Hogan Lovells on 2/7/2020

In today’s connected world, businesses face constant pressure to improve their cybersecurity practices and to confirm that they are meeting industry standards. To continue helping businesses achieve those goals, the SEC...more

SEC Examiners Release Cyber Observations: What You Need To Know

Bracewell LLP on 2/6/2020

On January 27, 2020, the SEC’s Office of Compliance Inspections and Examinations (OCIE) announced its most recent Cybersecurity and Resiliency Observations. This report highlights specific practices that have been, and can be...more

OCIE Publishes Risk Alert regarding Safeguarding of Customer Information Stored on Cloud and Other Network Storage Solutions

Dechert LLP on 6/10/2019

The U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations issued a National Exam Program Risk Alert on May 23, 2019, which identifies security risks and best practices associated with the...more

SEC OCIE Issues Guidance on Advisors’ and Broker-Dealers’ Cloud-Based and Other Network Storage of Customer Data

Akin Gump Strauss Hauer & Feld LLP on 5/29/2019

• On May 23, 2019, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert describing its observations in past examinations of weaknesses and best practices...more

U.S. Securities and Exchange Commission Issues Risk Alert Regarding Safeguarding Customer Records and Information Stored on...

Faegre Drinker Biddle & Reath LLP on 5/29/2019

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

SEC Warns Registered Firms about Client Privacy and Data Security

Akin Gump Strauss Hauer & Feld LLP on 4/29/2019

• The SEC released a Risk Alert summarizing key areas in which it continues to see compliance deficiencies related to Regulation S-P, the primary SEC rule regarding privacy notices and safeguard policies of investment...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

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

The Good and the Bad from OCIE’s Cyber Examinations and What Firms Should Do Next

Dechert LLP on 8/22/2017

The Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) released a National Examination Program Risk Alert (Risk Alert) on August 7, 2017 regarding observations from...more

Emerging Trends Newsletter - Q3

Stinson LLP on 10/17/2016

We are thrilled to bring you the third installment of Stinson Leonard Street's Emerging Trends newsletter. We are proud of the depth and breadth of experience and knowledge across our firm's 13 offices nationwide and are...more

Cybersecurity News & Notes – June 2016 #2: A brief digest of cybersecurity news you can use...

Foley Hoag LLP - Security, Privacy and the... on 6/13/2016

In Case You Missed It: The SEC fined Morgan Stanley $1 million for a 2014 data breach. While the FTC had declined to pursue an enforcement action, blaming the breach on technical issues rather than any actions or omissions...more

"Emerging Trends in Privacy and Cybersecurity"

Skadden, Arps, Slate, Meagher & Flom LLP on 1/21/2016

Entering 2016, the relentless stream of cyberattacks continues unabated, having become a "business as usual" reality to which companies must adapt. All companies, regardless of size or industry, are potential targets, and the...more

SEC Cybersecurity Update

Proskauer on Privacy on 10/20/2015

Results from the SEC’s First Round of Cybersecurity Examinations - On February 3, 2015, the OCIE published a risk alert summarizing its findings from its examinations of over 100 registered investment advisers and...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

Proactive Approach To Cybersecurity: Recent SEC guidance and enforcement actions suggest that reactive firms may be in the SEC’s...

Morgan Lewis on 10/12/2015

In an environment where even the largest and most powerful corporations have fallen victim to data breaches, it can be challenging to fathom how to protect against the sophisticated and ever-evolving threat of cyber attacks....more

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