Privacy

The SEC examiner said 'we’re going to want to talk with several people' during an exam

"Our national degradation of financial privacy and the rules that embody it are overdue for a change, and crypto is helping to nudge a reassessment"

The email account takeovers resulted in unauthorized, malicious phishing and credential-harvesting emails to many of the adviser's customers, potentially exposing their PII to bad actors

Expect examiners to 'look at your network segmentation, how do you break up your network to protect sensitive environments from' a public environment as well ...

Here are the seven elements that must be included in breach notices under revised Reg S-P

You may be tempted when the amendments to Reg S-P affect you to leave it to a vendor that experiences a breach involving your client’s ...

Expect SEC examiners to inquire about your efforts to comply with amended Reg S-P, so it's best to document your compliance prep steps

As the deadline inches nearer to comply with the SEC’s revisions to Regulation S-P, look for the Commission’s Exams Division to help you get ready

"We want to take this opportunity to clearly articulate our approach to achieving our shared goal of improved information security through the implementation of the ...

Assuming an SEC rule change to the more than two-decades old Reg S-P comes to fruition, you have lots of time to prepare but also ...