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
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
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
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
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
Privacy and Cybersecurity: How Advisers Must Protect their Clients’ Most Valuable Asset
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July 25, 2022
SEC’s Roisman Calls for Cybersecurity Rules and Guidance for Advisers
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November 04, 2021
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
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