Securities and Exchange Commission (SEC), Encryption, Hackers

Mixed Messages: The Salt Typhoon Encryption Debacle

Benesch on 1/8/2025

While the balance of security, privacy, and public safety has always been a concern, recent cyberattacks have highlighted conflicting guidance by United States government officials, creating potential pitfalls for businesses....more

Your Daily Dose of Financial News

Robins Kaplan LLP on 9/21/2017

As expected, the Fed left interest rates at current levels yesterday, though it hinted at another December rate hike and officially unveiled the start of its bond wind-down next month....more

Investment Adviser Settles SEC Cybersecurity Enforcement Action; SEC Issues Investor Alert

King & Spalding on 10/8/2015

On September 22, the U.S. Securities and Exchange Commission (“SEC”) and R.T. Jones Capital Equities Management, Inc. (“R.T. Jones”), a St. Louis-based investment adviser, settled charges that R.T. Jones failed to adopt...more

SEC Brings First Cybersecurity Enforcement Proceeding in Wake of Risk Alert

Foley & Lardner LLP on 10/8/2015

Highlights Areas of High Risk and Examination Priorities for Financial Industry Firms - On September 15, the U.S. Securities and Exchange Commission’s (SEC’s) Office of Compliance, Inspections and Examinations (OCIE),...more

SEC Charges Investment Adviser With Failure to Adopt Proper Cybersecurity Policies and Procedures

Broker-Dealer Compliance + Regulation on 9/25/2015

A registered investment adviser agreed to settle SEC charges that it failed to adopt adequate cybersecurity policies and procedures reasonably designed to protect customer records and information as required by Rule 30(a) of...more

Is Your Cyber-Security Better Than a Fortune 500's?

Sands Anderson PC on 7/15/2013

Half of Fortune 500 companies would face “serious harm” or be “adversely impacted” by a cyber-attack. The greatest perceived harms are loss or theft of confidential information, loss of reputation and direct loss from...more