Privacy

“If you’re subject to the law, it doesn’t really matter if you’re in or outside of California”

There's an increased risk of private litigation tied to data breaches

Privacy regulations of this sort can be very difficult for investment advisers and others in the financial services industry who are also subject to extensive ...

Use this tool to reveal a vendor's approach to privacy and cybersecurity

The Commission is now proposing to restore the inadvertently deleted Detailed Requirements provision

GFI publicly represented itself as an interdealer broker (“IDB”) that generally maintained the anonymity of customer identities when brokering securities trades and communicating with potential ...

Commissioner approval of rules and interpretations tied to fiduciary duty represented a “culmination of decades of work,” noted Barbara Gunn, assistant regional director in the ...

“It’s very frustrating,” says another source close to the issue

After the initial privacy notice, another one is unnecessary unless these changes occur

Wi-Fi can be so convenient – yet so risky.   OCIE’s new risk alert on Reg S-P warns of the use of “unsecure networks,” noting ...