SEC Case Spotlights Safeguarding and Disposal of Personal Information, Vendor Oversight
The SEC charged a large dual registrant with PII safeguarding and disposal deficiencies, in violation of Regulation S-P.
September 23, 2022
SEC Case Spotlights Safeguarding and Disposal of Personal Information, Vendor Oversight
The SEC charged a large dual registrant with PII safeguarding and disposal deficiencies, in violation of Regulation S-P.
September 23, 2022
SEC Brings Three Cases for Identity Theft Red Flags Rule Violations
The SEC charged three firms for identity theft prevention program deficiencies, in violation of the Identity Theft Red Flags Rule (Regulation S-ID).
August 01, 2022
SEC Grows Crypto Assets and Cyber Unit in Division of Enforcement
SEC increases size of Enforcement unit devoted to crypto assets and cybersecurity.
May 13, 2022
SEC Ramping Up Scrutiny of Cybersecurity at Investment Advisers
The SEC continues to ramp up its exam and enforcement focus on cybersecurity, focusing on cyber breach response procedures and protection of client information.
October 10, 2021
Two SEC-registered investment advisers, four dual registrants, and two broker-dealers have paid a total of $750,000 to settle charges involving cybersecurity failures that resulted in cloud-based email accounts being taken over by unauthorized third parties.
September 03, 2021
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