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Data Privacy Risk Management SEC Examination Priorities

Carlton Fields

SEC 2025 Examination Priorities Shine Light on AI

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Changes in available financial technology are changing the way the SEC’s Division of Examinations will examine registered firms. The division’s recently released 2025 examination priorities focus on the emerging risks posed...more

Winstead PC

Top Data Privacy & Cybersecurity Considerations in 2025 for RIAs

Winstead PC on

Compliance and Regulations - Ensure adherence to SEC regulations with appropriate privacy and cybersecurity policies tailored to SEC requirements....more

Hogan Lovells

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

Hogan Lovells on

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

Broker-Dealer Compliance + Regulation

Cybersecurity, Round 2: OCIE Announces Areas of Focus for Cybersecurity Examinations

On September 15, 2015, OCIE issued a risk alert relating to its new cybersecurity examination initiative. This is the second round of these examinations, and the alert provides a detailed look at OCIE’s current areas of...more

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