By

Seferina Berch

03 June 2019

Recent Risk Alerts by SEC OCIE Highlight Privacy and Cybersecurity Issues in Examinations

The SEC’s Office of Compliance Inspections and Examinations (OCIE) released two Risk Alerts, on April 16, 2019 and May 23, 2019, highlighting the importance of privacy and cybersecurity compliance for SEC-registered investment advisors and broker-dealers under Regulation S-P. As previously covered on Data Matters, OCIE has consistently identified cybersecurity as … Read More

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12 March 2019

FTC Seeks Comment on Proposed Changes to its GLBA Safeguards and Privacy Rules

Over the last few years, States have enacted increasingly aggressive legislation concerning data privacy and security, raising concerns that companies will be subject to a patchwork of different standards.  Congress has recently taken notice, convening hearings on potential federal privacy legislation, with the possibility of preemption a hot topic during … Read More

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