Privacy

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

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

Best practices include adding language to your terms of employment that prohibits a departing employee from taking sensitive client data; having departing employees sign an ...