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Privacy Notice Rule Regulatory Oversight

Carlton Fields

On Cybersecurity, Grab the Low-Hanging Fruit

Carlton Fields on

SEC Tells Firms to Stop Missing the Basics on Cybersecurity - The SEC’s Office of Compliance Inspections and Examinations (OCIE) reported in a recent Risk Alert that many investment advisers and broker-dealers are failing to...more

Ballard Spahr LLP

President Signs Bill Creating Exception to GLBA Annual Notice Requirement

Ballard Spahr LLP on

An amendment creating an exception to the annual privacy notice delivery requirement for financial institutions has been signed into law by President Obama as part of the “Fixing America’s Surface Transportation Act” (FAST...more

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