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Policies and Procedures › Recordkeeping Requirements › Privacy Laws

Tonkon Torp LLP

What the SEC Amendments to Regulation S-P Mean for Your Business

Tonkon Torp LLP on

On May 16, 2024, the SEC adopted amendments to Regulation S-P requiring broker-dealers, registered investment companies, registered investment advisers, funding portals, and transfer agents (collectively, “covered...more

A&O Shearman

SEC adopts amendments to Regulation S-P to address risks associated with the expanded use of technology

A&O Shearman on

On May 16, 2024, the U.S. Securities and Exchange Commission (“SEC”) adopted amendments to Regulation S-P (“Reg S-P”) that are intended to help protect investors’ privacy from the “expanded use of technology and corresponding...more

Akin Gump Strauss Hauer & Feld LLP

New Privacy and Cybersecurity Obligations for Private Fund Sponsors and Managers

Akin Gump Strauss Hauer & Feld LLP on

Last week, the Securities and Exchange Commission imposed expanded privacy and cybersecurity obligations on fund managers and sponsors registered with the SEC as investment advisers. While many registered investment advisers...more

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