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Results: 1-10 of 280

Broker-dealers required to take steps to safeguard online data and avoid expected SEC crackdown

  • Chadbourne & Parke LLP
  • -
  • USA
  • -
  • April 23 2014

The SEC's Office of Compliance Inspections and Examinations (OCIE), which is responsible for conducting inspections and examinations of investment

Cybersecurity: SEC is starting to scrutinize registrants’ practices

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • April 22 2014

The SEC plans to examine the cybersecurity practices of over 50 registered broker-dealers and investment advisers. The SEC announced its plan in an

SEC staff to conduct broker-dealer and investment adviser examinations focused on cybersecurity

  • Dechert LLP
  • -
  • USA
  • -
  • April 22 2014

The Securities and Exchange Commission's (the "SEC" or the "Commission") Office of Compliance Inspections and Examinations ("OCIE") announced in an

OCIE issues risk alert regarding cybersecurity preparedness

  • Bryan Cave LLP
  • -
  • USA
  • -
  • April 21 2014

On April 15, 2014, the SEC's Office of Compliance Inspections and Examinations ("OCIE") issued a risk alert announcing that it will be conducting

SEC announces cybersecurity examination initiative

  • BuckleySandler LLP
  • -
  • USA
  • -
  • April 18 2014

On April 15, the SEC's Office of Compliance Inspections and Examinations announced that it will be conducting cybersecurity examinations of more than

SEC (OCIE) cybersecurity initiative

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • April 18 2014

The Securities and Exchange Commission's ("SEC") Office of Compliance Inspections and Examinations ("OCIE") recently issued a National Exam Program

When a bank should disclose a cyber attack

  • Bryan Cave LLP
  • -
  • USA
  • -
  • April 11 2014

As cyber attacks against financial institutions have become more and more frequent, and the possibility of significant adverse consequences from a

Cybersecurity in the regulatory cross-hairs

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • April 7 2014

After announcing that cybersecurity is one of its 2014 examination priorities,FINRA wasted no time before announcing a sweep examination to assess

SEC convenes cybersecurity roundtable: highlights importance of cybersecurity for public companies and financial market participants

  • Bryan Cave LLP
  • -
  • USA
  • -
  • April 4 2014

On March 26, 2014, the Securities and Exchange Commission (the "SEC") convened a roundtable with experts from a wide range of government agencies

Update: cybersecurity and internal control over financial reporting

  • Morgan Lewis & Bockius LLP
  • -
  • USA
  • -
  • March 31 2014

We have two clarifications and two updates to our March 17 blog post, which noted that customer data is an asset that is covered by the definition of