Searching Content indexed under Data Protection by Catherine M. Anderson ordered by Published Date Descending.
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GDPR: Q&A For Investment Advisers And Private Fund Managers
As many of you may already be aware, the European GDPR goes into effect during May 2018. Below are some frequently asked questions and answers about GDPR as a short guide to assist investment advisers ...
European Union
13 Apr 2018
CFTC Approves NFA Interpretive Notice On Information Systems Security Programs, Including Cybersecurity Guidance
Members should review their ISSPs at least annually and should make regular adjustments as needed.
United States
4 Nov 2015
The SEC Charges Investment Adviser With Violating Regulation S-P By Failing To Adopt Cybersecurity Policies And Procedures
In recent years, the SEC has been focused on cybersecurity. It has issued risk alerts, conducted examinations and provided guidance about what the agency sees as widespread weaknesses in many policies and procedures to protect against cyberthreats.
United States
1 Oct 2015
SEC Issues Risk Alert Announcing Second Round Of Examinations Of Registered Investment Advisers And Broker-Dealers
From our colleagues Catherine Anderson and Lauren Tran, we present this update on OCIE's 2015 Cybersecurity Examination Initiative: Second Round of Cybersecurity Examinations to Begin
United States
29 Sep 2015
SEC Issues Cybersecurity Guidance Update For Investment Advisers
In summary, the Guidance Update notes the Division staff’s view that funds and investment advisers may wish to consider the following in order to address cybersecurity risk in their organizations
United States
30 Apr 2015
SEC Office Of Compliance Inspections And Examinations Releases Cybersecurity Examination Sweep Summary of Investment Advisers and Broker-Dealers
On February 3, 2015, the Office of Compliance Inspections and Examinations (OCIE) released the findings of its Cybersecurity Examination Sweep, which sought to evaluate the breadth of cybersecurity policies implemented by investment advisers (as well as by broker-dealers).
United States
11 Feb 2015
Massachusetts Conducting Cybersecurity Practices Survey Of Massachusetts-Registered Investment Advisers
The Massachusetts Securities Division released a survey to assess cybersecurity readiness and practices of Massachusetts-registered investment advisers.
United States
27 Jun 2014
SEC Issues Risk Alert On Cybersecurity Initiative For Investment Advisers
The SEC issued a Risk Alert regarding the initiative to assess cybersecurity preparedness and threats in the securities industry.
United States
29 Apr 2014
SEC Hosts Cybersecurity Roundtable
Cybersecurity remains a hot topic for regulators, including the Securities and Exchange Commission.
United States
17 Apr 2014
Massachusetts Data Security Law And Regulations-Service Provider Grandfather Provision Expires March 1, 2012
As we previously noted in our Foley Adviser dated February 3, 2010, "New Massachusetts Data Security Law and Regulations-Comprehensive Information Security Plan required before March 1, 2010", under the regulations, an investment adviser must require third-party service providers by contract to implement and maintain appropriate security measures for personal information.
United States
6 Feb 2012
New Massachusetts Data Security Law And Regulations - Comprehensive Information Security Plan Required Before March 1, 2010
As many of you are aware, The Commonwealth of Massachusetts has adopted a new data security law, and regulations thereunder (the "Regulations"), intended to protect its residents from identity theft.
United States
12 Feb 2010
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