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Securities and Exchange Commission

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

September 26, 2022 By Kate Hanniford and Mario Ayoub

  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

SEC Settles Enforcement Actions with Broker-Dealers and Investment Advisors for Identity Protection Deficiencies

August 1, 2022 By Alysa Austin and Kate Hanniford

On July 27, 2022, the Securities and Exchange Commission (SEC) separately settled three enforcement actions with broker-dealers and investment advisers for alleged deficiencies relating to the prevention of customer identity theft, in violation of the SEC’s Identity Theft Red Flags Rule, or Regulation S-ID. Regulation S-ID requires registered financial institutions, broker dealers, and investment advisers […]

Filed Under: Cybersecurity, Data Protection, Financial Privacy Tagged With: cybersecurity, Data Protection, Identity Theft, Regulatory Enforcement, Securities and Exchange Commission

Swiss Data Protection Regulator Is Latest to Outline Framework for Transferring Data to the SEC

August 17, 2021 By Daniel Felz, Kate Hanniford and Wim Nauwelaerts

Entities registered with the U.S. Securities & Exchange Commission (SEC) must maintain certain books and records and can be subject to the SEC’s examination, inspection, and enforcement authority. Responding to SEC requests can require cross-border transfers of personal data, and this has historically risked non-compliance under foreign data protection law. The SEC has been proactive […]

Filed Under: Data Protection, Financial Privacy, International, Privacy, Regulation Tagged With: Cross-border, EU Data Protection, International Data Transfers, Regulatory Enforcement, Securities and Exchange Commission

Critical Audit Matters Disclosure Implicates Information Technology and Security

November 6, 2019 By Kate Hanniford

As independent auditors to public companies and business development companies begin to make required disclosure of Critical Audit Matters (CAMs) to the audit committee, such reports are beginning to include discussion of information security programs and information technology controls.  Independent auditors have treated material weaknesses in certain information technology controls as material weaknesses in internal […]

Filed Under: Cyber Risk, Data Security, Regulation Tagged With: cybersecurity, disclosure, PCAOB, Securities and Exchange Commission

SEC Files Complaint Against Hacker, Traders in EDGAR Data Breach Case

January 18, 2019 By Privacy, Cyber & Data Strategy Team

The Securities and Exchange Commission has filed a Complaint against eight traders, one alleged hacker, and others, in connection with a previously disclosed cybersecurity attack that infiltrated the SEC’s EDGAR system in 2016.  The Complaint brings claims for violations of federal securities and antifraud laws and unjust enrichment, and seeks injunctions against future securities law […]

Filed Under: Cybersecurity, Data Breach Tagged With: Securities and Exchange Commission

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Recent Posts

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