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SEC Continues Focus on Cybersecurity in Three New Actions Targeting Investment Advisers and Broker Dealers

USA - September 13 2021 Demonstrating its continued focus on cybersecurity enforcement, the Securities and Exchange Commission (SEC) announced three new actions on Aug. 30…

Alan R. Friedman, Austin Manes, Darren LaVerne, Gary P.Naftalis, George M. Silfen, Kerri Ann Law, Martin M. McSherry, Michael Martinez, Robin Wilcox, Steven S. Sparling.

New York City’s Biometric Privacy Law Takes Effect: What You Need To Know

USA - July 20 2021 On July 9, 2021, New York City enacted a new biometric ordinance regulating how businesses handle biometric identifier information. The new law is the…

Alan R. Friedman, Robin Wilcox, Steven S. Sparling, Thomas M. Twitchell.

The SEC’s Continued Focus on Cybersecurity Enforcement

USA - July 8 2021 On June 14, the Securities and Exchange Commission (SEC) announced a $490,000 settlement with the real estate services provider First American…

Alan R. Friedman, Gary P.Naftalis, Martin M. McSherry, Michael Martinez, Robin Wilcox, Steven S. Sparling.

DOJ Cyber-Digital Task Force Releases Cryptocurrency Enforcement Framework

USA - October 12 2020 Building off a 2018 alert outlining cyber threats generally, and following the federal indictment for money laundering of the founders of the offshore…

Alan R. Friedman, Darren LaVerne, Patrick J. Campbell.

OCIE Warns of Increased ‘Credential Stuffing’ Cyberattacks on Investment Advisers, Broker-Dealers

USA - October 1 2020 The Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) has published a risk alert, warning…

Alan R. Friedman, Kevin P. Scanlan, Samantha V. Ettari.