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Searching Content indexed under Compliance by Natasha Kohne ordered by Published Date Descending.
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SEC OCIE Issues Guidance On Advisors' And Broker-Dealers' Cloud-Based And Other Network Storage Of Customer Data
On May 23, 2019, the Securities and Exchange Commission's (SEC) Office of Compliance Inspections and Examinations (OCIE)
United States
11 Jun 2019
2
Upcoming February And March Deadlines Under New York DFS Cybersecurity Regulation, Including New Third-Party Service Provider Requirements
This client alert will briefly outline key upcoming deadlines under the New York State Department of Financial Services (DFS) Cybersecurity Regulation (the "Regulation").
United States
5 Feb 2019
3
Non-Profit Activists' Strategic Pursuit Of Alleged GDPR Violations Spurs Compliance Developments
Non-profit organizations are testing companies' GDPR compliance through targeted requests for information and other means and are filing complaints against allegedly non-compliant companies.
United States
30 Jan 2019
4
NYDFS: A Lawyer's Responsibility
Because the final NYDFS regulations will likely largely reflect the current draft of the regulations, companies subject to these regulations should immediately begin to tackle compliance requirements.
United States
24 Jan 2017
5
Morgan Stanley Fined $1 Million By SEC For Cybersecurity Violations
On June 8, 2016, the SEC ordered broker-dealer and investment advisor Morgan Stanley Smith Barney LLC (MSSB) to pay a $1 million civil money penalty and to cease and desist from violating the SEC's Safeguards Rule...
United States
21 Jun 2016
6
The Panama Papers: Managing Corporate Risk And Uncertainty
On April 3, 2016, it became public that an anonymous source had leaked 11 million confidential documents...
United States
22 Apr 2016
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