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Securities Litigation Group

SEC Brings First Enforcement Action for Violation of the Identity Theft Red Flags Rule

September 27, 2018 By Cybersecurity Preparedness & Response Team and Securities Litigation Group

On September 26, 2018, the SEC brought its first ever enforcement action for violations of Regulation S-ID (the “Identity Theft Red Flags Rule”), 17 C.F.R. § 248.201, in addition to violations of Regulation S-P, 17 C.F.R. 30(a) (the “Safeguards Rule”). Regulation S-ID and Regulation S-P apply to SEC-registered broker-dealers, investment companies, and investment advisers, and […]

Filed Under: Cybersecurity, Enforcement, Security Breach Tagged With: Cybersecurity, Regulatory Enforcement, Securities and Exchange Commission

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