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SEC

SEC’s Proposed Cybersecurity Rules Delayed Yet Again

July 6, 2023 By Kim Peretti and Lance Taubin

On June 13, 2023, the Securities and Exchange Commission (“SEC”) published its Spring 2023 rulemaking agenda that delayed finalizing the proposed Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure rule for public companies and proposed rule on Cyber Risk Management for Investment Advisers, Registered Investment Companies and Business Development Companies until at least October 2023.  […]

Filed Under: Cybersecurity, SEC

SEC Sends a Message to Investment Advisers: Take Secure Data Disposal Seriously

September 26, 2022 By Kate Hanniford

  On September 20, 2022, the Securities and Exchange Commission (SEC) settled an enforcement action with a large, registered investment adviser (the Firm) for alleged violations of the Safeguards Rule and the Disposal Rule of Regulation S-P that arose in the context of a data disposal process, imposing a $35 million penalty. Specifically, the SEC […]

Filed Under: Cybersecurity, Data Protection, Data Security, Financial Privacy, Privacy, SEC Tagged With: Cybersecurity, Data Protection, Regulatory Enforcement, Securities and Exchange Commission

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