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The form of cyber-attack employs compromised client login credentials
The GLBA shield offers advisers that fall under the CCPA no protection regarding data breaches, though. Penalties can sting
Investors may seek choices in how their personal data is made available to and used by their investment advisers, just as they may seek choices ...
The coronavirus crisis has forced many firms to stitch together patchwork telecommuting arrangements even as the world economy faces its worst days since the 1930s. ...
The Commission restores text that had been inadvertently deleted in a prior rulemaking
“If you’re subject to the law, it doesn’t really matter if you’re in or outside of California”
There's an increased risk of private litigation tied to data breaches
Hester Peirce
Privacy regulations of this sort can be very difficult for investment advisers and others in the financial services industry who are also subject to extensive ...
Use this tool to reveal a vendor's approach to privacy and cybersecurity
The Commission is now proposing to restore the inadvertently deleted Detailed Requirements provision
GFI publicly represented itself as an interdealer broker (“IDB”) that generally maintained the anonymity of customer identities when brokering securities trades and communicating with potential ...
Commissioner approval of rules and interpretations tied to fiduciary duty represented a “culmination of decades of work,” noted Barbara Gunn, assistant regional director in the ...
“It’s very frustrating,” says another source close to the issue
Wi-Fi can be so convenient – yet so risky.   OCIE’s new risk alert on Reg S-P warns of the use of “unsecure networks,” noting ...
After the initial privacy notice, another one is unnecessary unless these changes occur
The Commodity Futures Trading Commission (“CFTC” or “Commission”) is adopting amendments to revise its regulations requiring covered persons to provide annual privacy notices to customers. ...
Through sharing some of the Regulation S-P compliance issues it observed, OCIE encourages registrants to review their written policies and procedures, including implementation of those ...
With cybersecurity as hot as a black hole, it’s no surprise that OCIE wants advisers to take a new look at their cybersecurity P&Ps as ...
OCIE chalked up more than 2,000 IA exams in FY 2018, visiting 17% of all firms. These numbers may be out of reach in FY ...
The Golden State takes pleasure in being the first in the nation at things and this record continues after the state has passed the country’s ...
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