Tag: Privacy
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
Panelists at the 2021 IAA Investment Adviser Compliance Conference reviewed the rapidly evolving cybersecurity and data privacy environment. Here are their top tips for how investment advisers can stay one step ahead.
April 07, 2021
Tags: Privacy, Compliance Conference, Cybersecurity, Takeaways
Virginia Second Major State to Adopt Significant Data Privacy Law
Virginia has earned the distinction of being the second major state (after California) to adopt a significant data privacy law.
March 10, 2021
Tags: Privacy, Cybersecurity
The SEC’s Asset Management Advisory Committee held a special meeting on July 16 that included two panel discussions, the first on diversity and inclusion in the asset management industry and the second on data privacy and technology’s impact on investment advice.
July 23, 2020
Tags: FinTech, Privacy, AMAC, Dalia Blass, Diversity & Inclusion, Elad Roisman, Jay Clayton
The CCO in a High Tech World: Insights from the IAA Compliance Conference
The challenges of overseeing compliance and risk in an ever-changing technology environment were top of mind at this year’s IAA Compliance Conference.
July 10, 2020
Tags: Privacy, Compliance Conference, Cybersecurity, Technology
The SEC’s Divisions of Investment Management and Trading and Markets have issued a statement providing no-action relief from failure to deliver certain international adviser and fund communications.
June 25, 2020
Tags: Form ADV, Privacy, Coronavirus, COVID-19, Cybersecurity, Form CRS, Investment Company
With July 1 CCPA Enforcement Date Imminent, Final Regulations are Proposed
The California Attorney General has submitted final California Consumer Privacy Act Regulations to govern compliance with the California Consumer Privacy Act of 2018 (CCPA).
June 25, 2020
2020 Policy Outlook: Looking Ahead Requires Looking Back
The IAA is proud to have advanced the interests of the investment adviser community in 2019 – with the strong support and involvement of our members.
January 01, 2020
Tags: Privacy, Columns, Form CRS, From the President & CEO, Karen Barr, Proxy, Proxy Voting, Reg BI
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