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Client Alert: Securities and Exchange Commission Imposes $1 Million Penalty on Voya Financial Advisors after Cybersecurity Intrusion
  • Vorys Sater Seymour and Pease LLP
  • USA
  • November 5 2018

Recently, the Securities and Exchange Commission (SEC) imposed a $1 million penalty against Voya Financial Advisors, Inc. (VFA). The SEC alleged that


The SEC Brings Its First Enforcement Action under the Identity Theft Red Flags Rule
  • K&L Gates
  • USA
  • November 1 2018

On September 26, 2018, the Securities and Exchange Commission (SEC) settled claims that Voya Financial Advisors, Inc. (VFA) failed to adequately


SEC Brings First Enforcement Action Under the Identity Theft Red Flags Rule
  • Mayer Brown
  • USA
  • October 23 2018

On September 26, 2018, the US Securities and Exchange Commission ("SEC") brought and settled charges against a registered broker-dealerinvestment


SEC Issues $1 Million Identity Theft Rule Fine
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • October 22 2018

The Securities and Exchange Commission recently settled with Voya Financial Advisors, Inc. for alleged violation of Regulation S-ID (otherwise known


Broker-Dealer and Investment Adviser Agrees to Settle SEC Enforcement Action Arising From a Data Security Incident
  • Baker & Hostetler LLP
  • USA
  • October 18 2018

The U.S. Securities and Exchange Commission (SEC) recently announced a consent order settling an enforcement action brought by the SEC against Voya


Practice What You Preach: Having Cybersecurity Policies and Procedures That Don’t Do What They Are Supposed To Do Can Result in Fines
  • Michael Best & Friedrich LLP
  • USA
  • October 11 2018

In the first enforcement of the Identity Theft Red Flags Rule, the U.S. Securities and Exchange Commission (SEC) fined Voya Financial Advisors, Inc


SEC Charges Broker-DealerAdviser With Inadequate Cybersecurity Procedures
  • Katten Muchin Rosenman LLP
  • USA
  • October 11 2018

On September 26, the Securities and Exchange Commission (SEC) charged a dually registered broker-dealer and investment adviser (the "Registrant") with


SEC penalizes investment company $1 million for cyber security failings
  • Buckley Sandler LLP
  • USA
  • October 4 2018

On September 26, the SEC announced a settlement with an Iowa-based broker-dealer and investment advisement company, which agreed to pay $1 million to


SEC Charges Broker-Dealer and Investment Adviser with Violations of the Safeguards Rule and Identity Theft Red Flags Rule
  • Proskauer Rose LLP
  • USA
  • October 4 2018

In September 2018, the Securities and Exchange Commission (“SEC”) announced that broker-dealer and investment adviser Voya Financial Advisors Inc


Back to Basics, FACTA ContinuedRemember the Red Flags Rule? Hope so.
  • Sirote & Permutt PC
  • USA
  • May 8 2018

Recall that the Federal Trade Commission became very concerned about identity theft in the early 2000's. The Furnisher Rule, that I discussed last