IAA Supports SEC Proposal on Protection of Client Information with Recommended Changes
The IAA supports the SEC proposal to expand rules that protect privacy of investor information with recommended changes.
June 05, 2023
Your Search Results
SEC Staff Issues Risk Alert on Safeguarding Client Information at Branch Offices
Reflecting an ongoing focus on both oversight of branch offices and safeguarding of client information, the SEC’s Division of Examinations has issued a Risk Alert on the “importance of establishing written policies and procedures for safeguarding customer records and information at branch offices.”
May 01, 2023
SEC proposes expanding its data privacy rules to require advisers to implement incident response programs and notify clients of unauthorized access or use of sensitive client information; reopens comment period for adviser cybersecurity proposal.
March 16, 2023
Privacy and Cybersecurity: How Advisers Must Protect their Clients’ Most Valuable Asset
We’re sorry – you must be a member to view this content. Please log in.
July 25, 2022
SEC’s Roisman Calls for Cybersecurity Rules and Guidance for Advisers
We’re sorry – you must be a member to view this content. Please log in.
November 04, 2021
Five Tips for Staying Ahead of Changing Cyber, Privacy Rules
Five Tips for Staying Ahead of Changing Cyber, Privacy Rules April 7, 2021 “There is a tremendous amount of activity,” stressed Kirk Nahra of WilmerHale. “We’ve seen almost an...
April 07, 2021
Virginia Second Major State to Adopt Significant Data Privacy Law
Virginia Second Major State to Adopt Significant Data Privacy Law March 10, 2021 Virginia has earned the distinction of being the second major state (after California) to adopt a...
March 10, 2021
SEC’s Asset Management Advisory Committee Holds Special Meeting to Discuss Diversity and Inclusion, Data Privacy and Technology July 23, 2020 The SEC’s Asset Management Advisory Committee held a special...
July 23, 2020