Cybersecurity and Data Privacy review and update: Looking back on 2018 and planning ahead for 2019
Posted on Mar 1, 2019 in Cybersecurity, Data Privacy, Energy and Infrastructure, Financial Services, GDPR, Government, Insurance, Intellectual Property, Litigation, Regulation, Securities & Corporate Governance | Comments Off on Cybersecurity and Data Privacy review and update: Looking back on 2018 and planning ahead for 2019
From the implementation of the GDPR to the passage of the CCPA, the year 2018 proved to be a monumental one for cybersecurity and data privacy. Regulators from around the world responded to devastating, large-scale cyber-attacks, and a desire for their citizens to have more control over their data, by passing a wide range of regulations aimed at protecting consumer information. These...
SEC Moves to Update Transfer Agent Rules; New Rules Likely to Impact Unclaimed Property and Cybersecurity
Posted on Jan 6, 2016 in Uncategorized | Comments Off on SEC Moves to Update Transfer Agent Rules; New Rules Likely to Impact Unclaimed Property and Cybersecurity
On December 22, 2015, the Securities and Exchange Commission took the first step in overhauling SEC regulation of transfer agents, the little-discussed but critical intermediaries involved in the prompt clearance and settlement of almost all U.S. securities. After many years in which other types of financial market intermediaries took center stage on the SEC’s rulemaking agenda, the...
They’re Baaaack . . . SECs Office of Compliance Inspections and Examinations Releases New Cybersecurity Risk Alert
Posted on Sep 16, 2015 in Financial Services | Comments Off on They’re Baaaack . . . SECs Office of Compliance Inspections and Examinations Releases New Cybersecurity Risk Alert
Yesterday, the U.S. Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE) released a Risk Alert describing OCIE’s 2015 cybersecurity exam initiative. [link to www.sec.gov/ocie/announcement/ocie-2015-cybersecurity-examination-initiative.pdf]. As the Risk Alert notes, OCIE’s new cybersecurity initiative builds on information OCIE learned from...
Sutherland and the Financial Services Institute Complete Benchmarking Survey on Cybersecurity Practices
Posted on Jul 15, 2015 in Financial Services | Comments Off on Sutherland and the Financial Services Institute Complete Benchmarking Survey on Cybersecurity Practices
WASHINGTON—Sutherland Asbill & Brennan LLP and the Financial Services Institute (FSI) have completed a survey of FSI members concerning cybersecurity issues. The survey included responses from 39 broker-dealers (92% of which were dually registered as investment advisers), ranging in size from fewer than 100 registered representatives to more than 2,000. The survey covered a variety...
Sutherland Conducts Extensive Cybersecurity Survey of Broker-dealers
Posted on Jun 18, 2015 in Financial Services | Comments Off on Sutherland Conducts Extensive Cybersecurity Survey of Broker-dealers
Sutherland attorneys Brian Rubin and Charlie Kruly, along with the Financial Services Institute (FSI), the trade association for independent contractor broker-dealers, recently conducted a survey of the cybersecurity practices of FSI members. The survey covered many aspects of cybersecurity governance, including vendor management, technical safeguards, and cybersecurity policies and...
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Video: As the challenges cybersecurity and data privacy present are often global
