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SEC Modernizes Data Protection Rules for Safeguarding Customer Information | WilmerHale

SEC Modernizes Data Protection Rules for Safeguarding Customer Information | WilmerHale
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Exchange commissionRegulations pRegs pFederal register

Financial Services Insurance in an Era of Regulatory Risk | Woodruff Sawyer

Financial Services Insurance in an Era of Regulatory Risk | Woodruff Sawyer
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Woodruff sawyerInvestment companiesFund adviserDivision of enforcementSp amendmentsWhere are cyberSecurities investigationsRegulations pRegs pWhile regs pAre you payingFund adviser rulesInvestment companies actPrivate fund adviser rules

FINRA offers tips on managing vendor relationships

Relationships with vendors can make or break an advisor's business; FINRA officials and industry experts discuss best practices.

Brian carterSarah kwakCarmi moserExchange commissionRegs pSigma financial

United States - Security - SEC Adopts Amendments To Regulation S-P That Require Reporting Breaches Of Sensitive Customer Information

On May 15, the Securities and Exchange Commission adopted amendments to Regulation S-P, which covers broker-dealers, registered investment advisors (RIAs), and investment companies (funds).

United statesExchange commissionYork stock exchangeRegulations pRegs pGramm leach bliley actAccurate creditTransactions actSurface transportation actNew york stock exchange

SEC adopts amendments to Regulation S-P to address risks associated with the expanded use of technology | A&O Shearman

SEC adopts amendments to Regulation S-P to address risks associated with the expanded use of technology | A&O Shearman
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