Privacy Archives

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

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

Tags: Privacy, PII, Reg S-P, SEC

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 Rules that Protect Privacy of Investor Information; Reopens Cybersecurity Proposal

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

Privacy and Cybersecurity: How Advisers Must Protect their Clients’ Most Valuable Asset

This article discusses advisers’ evolving federal, state, and cross-border regulatory obligations with respect to client data.

July 25, 2022

Tags: Privacy, Cybersecurity, Data Security

SEC’s Roisman Calls for Cybersecurity Rules and Guidance for Advisers

SEC Commissioner Elad Roisman is urging the SEC to provide more clarity around advisers’ cybersecurity obligations, underscoring the need to set clear expectations and promote protection of client account data as firms' reliance on technology grows.

November 04, 2021

Tags: Privacy, Cybersecurity, Elad Roisman

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

Tags: Privacy, Compliance Conference, Cybersecurity, Takeaways

2020 Policy Outlook: Looking Ahead Requires Looking Back

2020 Policy Outlook: Looking Ahead Requires Looking Back By IAA President & CEO Karen Barr January 1, 2020 Karen BarrIAA President & CEO The IAA is proud to have advanced...

January 01, 2020

Tags: Privacy, Columns, Form CRS, From the President & CEO, Karen Barr, Proxy, Proxy Voting, Reg BI

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