Tag: Privacy
SEC Publishes 2026 Examination Priorities
The SEC’s Division of Examinations announced its fiscal year 2026 examination priorities. The high-level focus remains consistent with last year’s priorities across three themes: adherence to fiduciary duty, compliance program effectiveness, and oversight of newly registered or never examined advisers.
November 18, 2025
Tags: Privacy, Cryptocurrency, Fiduciary, Private Funds
SEC Holds First Compliance Outreach Event for Regulation S-P
The SEC held a webinar on recent amendments to Regulation S-P that addressed the new requirements and potential areas of focus for examinations.
September 29, 2025
Tags: Privacy, Regulation S-P
SEC Announces Compliance Outreach Events for Regulation S-P
The SEC has announced Compliance Outreach events on Regulation S-P, with the first scheduled for September 25 for large firms. The compliance date for large firms in December 3.
September 18, 2025
Tags: Privacy, Regulation S-P
IAA Calls on SEC for More Time on Reg S-P
The IAA has submitted a letter urging the SEC to extend the compliance date for Regulation S-P and to consider refinements to the rule.
July 31, 2025
Tags: Privacy, Cybersecurity, Data Security
IAA Members and Aon Discuss Cyber Insurance and Risk
Learn about cyber protection and insurance policies from Aon in this member call.
June 13, 2025
Tags: Privacy, Cybersecurity, Insurance, Reg S-P
Privacy and Cybersecurity: How Advisers Must Protect Their Clients’ Most Valuable Asset
Investment advisers must keep up with evolving federal, state, and cross-border regulatory obligations with respect to client data, privacy, and cybersecurity.
October 18, 2024
Tags: Privacy, Cybersecurity, Data Security
NIST Releases New Cybersecurity Framework
New cybersecurity framework, intended to guide all types of organizations, was published by the National Institute of Standards and Technology (NIST).
February 26, 2024
Tags: Privacy, Cybersecurity, NIST
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
Tags: Privacy, Information Security, SEC
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
Tags: Privacy, Information Security, SEC
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