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SEC Sanctions Broker Dealers for Identity Theft Problems

SEC required to adopt Regulation S-ID by a provision in 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act, amended provision of Fair Credit Reporting Act of 1970 FCRA to add SEC and Commodity Futures Trading Commission to federal agencies must have red flag rules
New York United States Puerto Rico New Jersey Identity Theft Protection Program Office Of Compliance Inspections

US SEC Cyber Risk Management Proposed Rules: Analysis For Investment Advisers, Investment Companies, BDCs And Broader Implications For Private Sector - Technology

On February 9, 2022, the Securities Exchange Commission ("SEC" or "Commission") voted 3-1 to propose rules, forms and amendments concerning cybersecurity risk management...
Gary Gensler See Commission Public Company Cybersecurity Office Of Compliance Inspections Division Of Examinations Fund Board Oversight
Source: mondaq.com

Widening the Aperture Beyond Retail-Focused Advisers | King & Spalding

SEC Enforcement and Exams Likely to Focus More on Private Funds in the New Administration For the next several weeks and months, intense focus will be trained on determining the priorities of the Biden administration. We believe that at the Securities and Exchange Commission (“SEC”), the new administration will ramp up examinations and investigations of investment advisers, and specifically advisers to private funds. The industry has certainly been in growth mode. By the SEC’s own calcula...
United States Mary Jo White Stephanie Avakian Steven Peikin Gary Gensler Peter Driscoll

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