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Results: 1-10 of 215

Protecting privacy or enabling fraud? Employee social media password protection laws may clash with FINRA rules

  • Proskauer Rose LLP
  • -
  • USA
  • -
  • May 8 2013

As a growing number of states pass legislation which will protect individuals' social media accounts from employer scrutiny, they have encountered a

The role of information technology risk assessment in enterprise risk management

  • Dentons
  • -
  • USA
  • -
  • September 6 2012

The new andor emerging risks that management and Boards of Directors face today include those arising from rapid transformation in the delivery of technological solutions, including dramatic changes resulting from the increased use of "cloud" computing

SEC and CFTC issue identity theft red flags rules applicable to financial institutions and creditors

  • Dechert LLP
  • -
  • USA
  • -
  • April 23 2013

The SEC and CFTC recently issued joint Identity Theft Red Flags Rules (the "Rules"), which are rules and guidelines requiring certain financial

The new identity theft red flags rules - get ready!

  • Day Pitney LLP
  • -
  • USA
  • -
  • May 10 2013

In our April 15 Alert, we discussed the Securities and Exchange Commission's and the Commodity Futures Trading Commission's new rules requiring

SEC staff recommends review of record-retention policies to reflect social media content and communications made by registered investment advisors

  • Baker & Hostetler LLP
  • -
  • USA
  • -
  • April 27 2012

The staff of the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) recently published an advisory alert regarding investment advisors’ use of social media and recommended that firms using social media adopt and periodically review the effectiveness of recordkeeping policies and procedures regarding social media in the face of changing technology

The Rockefeller letter and the cybersecurity debate

  • Cadwalader Wickersham & Taft LLP
  • -
  • USA
  • -
  • October 12 2012

On September 19, 2012, Senator John D. Rockefeller IV (D-WV), Chairman of the Senate Committee on Commerce, Science, and Transportation, wrote directly to the CEOs of the Fortune 500 companies regarding cybersecurity

SEC and CFTC issue final red flags rules relating to identity theft

  • Sidley Austin LLP
  • -
  • USA
  • -
  • April 25 2013

The Securities and Exchange Commission ("SEC") and the Commodity Futures Trading Commission ("CFTC" and together with the SEC, the "Commissions"

CFTC and SEC adopt identity theft rules

  • Davis Polk & Wardwell LLP
  • -
  • USA
  • -
  • April 29 2013

On April 10, 2013, the Commodity Futures Trading Commission (the "CFTC") and the Securities and Exchange Commission (the "SEC," and together with the

Consumer privacy issues abound in the Dodd-Frank Wall Street Reform and Consumer Protection Act

  • Reed Smith LLP
  • -
  • USA
  • -
  • July 20 2010

With President Obama scheduled to sign the Dodd-Frank Wall Street Reform and Consumer Protection Act this week, the financial services industry faces a rapidly changing regulatory environment

Adviser fined $100,000 for violating Regulation S-P for failing to install antivirus software

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • October 2 2009

The SEC charged Commonwealth Equity Services, LLP, a registered broker-dealer and investment adviser, with violating Regulation S-P, a set of regulations designed to protect the privacy of certain client information

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