Category

Enforcement

07 July 2015

Joint FTC and NJ AG Complaint and Settlement Against App Developer that Allegedly “Hijacked” and “Drained” Phone Resources

On June 29, the FTC and New Jersey Attorney General announced the filing of a joint complaint, and proposed, stipulated settlement, against an Ohio-based app developer, Equiliv Investments LLC and an individual officer of the company. The federal and state enforcement agencies alleged that Equiliv marketed a free app that … Read More

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25 June 2015

Final Negotiations Set To Begin On EU Data Privacy Law

More than three years after the initial proposal for the EU Data Protection Regulation was published by the European Commission, it has been agreed by Europe’s Council of Ministers. The negotiations will now start between the commission, the European Parliament and the Council, in what is known as the “Trilogue” … Read More

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09 June 2015

HHS to solicit comments on methodology for victims of HIPAA violations to receive percentage of civil penalties or settlements

In May, the Department of Health and Human Services published its Spring 2015 regulatory agenda, which outlines its upcoming rulemaking initiatives.  The agenda describes a number of Office of Civil Rights (OCR) rulemakings that are forthcoming, including OCR’s plan to release an advanced notice of proposed rulemaking that would solicit … Read More

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25 April 2014

OCR Levies Nearly $2 Million in HIPAA Fines for Stolen Unencrypted Laptops

On Tuesday, April 22, 2014, the U.S. Department of Health and Human Services Office for Civil Rights (“OCR”) announced that Concentra Health Services Inc. (“CHS”) and QCA Health Plan Inc. (“QCA”) have agreed to pay a total of $1,975,220, collectively, to resolve potential violations of the Health Insurance Portability and … Read More

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24 April 2014

Cybersecurity Developments: SEC, FINRA, NIST, DOJ/FTC

SEC Launches Cybersecurity Examination Initiative – Promoting Cyber Preparedness

On April 15, 2014 the Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE) released a Risk Alert announcing that the agency will be examining 50 registered broker-dealers and investment advisers in order to assess cybersecurity preparedness in … Read More

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17 March 2014

European Parliament Votes to Approve New EU Data Protection Regulation and Immediate Suspension of Safe Harbor

The European Parliament has voted in a plenary session on March 12, 2014 to fully endorse the draft EU Data Protection Regulation (the Regulation) and the draft EU resolution calling for the immediate suspension of Safe Harbor (the Resolution), both of which were adopted previously by the European … Read More

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20 February 2014

Broker-Dealers Need to Respond to Recent Focus on Cybersecurity Threats

Recent data breaches at retailers like Target have increased awareness about growing cybersecurity threats. Broker-dealers in particular need to reevaluate their own cybersecurity preparedness in light of several recent events:

  1. FINRA’s launch of a cybersecurity sweep, publicly announced on the FINRA website on February 6, 2014;
  2. The inclusion of cybersecurity
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18 February 2014

Advisory Guidelines on the Singapore Do Not Call Provisions: The Personal Data Protection Act

On December 26, 2013, Singapore’s Personal Data Protection Commission (the “Commission”) issued advisory guidelines on the “Do Not Call” Provisions (“DNC Guidelines”) of the Personal Data Protection Act 2012 (Act 26 of 2012) (“the Act”). The DNC Guidelines supplement the Commission’s earlier issued Advisory … Read More

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