News & Insights: Regulation S-ID

SEC Risk Alert on Prevention of Identity Theft and Reg S-ID

The Division of Examinations (“EXAMS”) issued a Risk Alert to assist firms with identity theft prevention programs required under Regulation S-ID.

Six New Data Privacy Bills That Could Become Law in 2021

State mandated data privacy regulations are constantly evolving to meet the needs of the changing cybersecurity landscape.

Scam Risks in 2021 and How to Avoid Them

Cybercriminals are becoming increasingly sophisticated and continue to find new ways to compromise both individuals’ and firms’ data security.

The Top 10 Regulatory Headlines for Investment Advisers

Amid the unique changes and challenges 2020 has brought, there has been plenty of regulatory news from the SEC and OCIE.

Avoid the risk of using common passwords– make your accounts more secure today

Password spray attacks target user accounts by attempting to access hundreds of thousands of accounts with the same common password at once, instead of testing many password combinations on a single account.

OCIE Risk Alert: common compliance program issues

OCIE released a Risk Alert outlining common compliance concerns among registered investment advisers. The list was compiled based on recent compliance examinations of advisers.

The SEC’s 9 recommendations for avoiding “credential stuffing” attacks

Credential stuffing may lead to clients being in danger of loss of assets or public exposure of sensitive information.

How to Identify and Avoid Vishing and Smishing Attacks

Social engineering schemes include vishing and smishing; these schemes are becoming more common among employees who use personal devices for work. Fortunately, there are steps your organization can take to remain aware and vigilant about evolving social engineering attack risks.

Are your firm’s electronic records secure by SEC standards?

In recent years, the SEC has heightened its emphasis on cybersecurity requirements for firms. Routine examinations now often involve in-depth requests for information on firms’ cyber and data security practices, which are areas of evolving risk for all market participants.

Newly Identified Compliance Risks Due to COVID-19: What You Should Know

The OCIE issued a Risk Alert that outlines new compliance risks stemming from the global pandemic. The SEC and OCIE have remained operational and have continued to initiate examinations, including routine examinations of investment advisers. 

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