News & Insights

Check out our Flash Reports for the latest SEC- and compliance-related news, trends, and insights.

SEC Adopts Rule Amendments to Regulation S-P to Enhance Protection of Customer Information

The SEC adopted amendments to Regulation S-P requiring broker-dealers, investment companies, registered investment advisors, and transfer agents to implement and maintain policies and procedures regarding an incident response program that are designed to detect, respond, and recover from unwarranted access or use of client information.

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SEC Proposes New Rule on Outsourcing by Investment Advisers

On Wednesday, Oct. 26, 2022, the SEC proposed a new rule and amendments regarding the due diligence of service providers.

Typosquat Campaign Mimics 27 Brands to Push Windows, Android Malware

A massive typosquat campaign has come to light with over 200 typosquatting domains impersonating 27 brands to push Windows and Android malware.

Electronic Communications Recordkeeping: SEC Examination Requests

After landmark penalties against 16 Wall Street Firms, the message is clear: firms are expected to abide by the SEC recordkeeping rules, especially around communication.

Uber’s 2016 Data Breach Cover-Up Results in Former Security Chief’s Conviction

Joe Sullivan, former chief security officer for Uber, was convicted on federal charges related to a ransom payment he authorized following a 2016 security breach.

SEC Reopens Comment Periods for Cybersecurity, ESG, and More

In a surprising development, the U.S. Securities and Exchange Commission (SEC) announced that they would reopen the comment period on specific rulemaking releases between June 2021 and August 2022.

Cybersecurity Awareness Month: Four Things You Can Do

Cyberattacks are now seen as the biggest risk to businesses. One of the best ways to combat these threats is for organizations to educate employees about cyber and data security.

NSCP Currents: ESG Considerations for Investment Advisers

On May 25, 2022, the SEC proposed a rule and form amendments that would require disclosures concerning ESG practices by certain registered investment advisers.

16 Wall Street Firms Charged by the SEC for Widespread Recordkeeping Failures

The SEC charged 16 firms for widespread and longstanding failures to maintain and preserve electronic communications.

NSCP Currents: Evolving Cybersecurity Expectations: The SEC Proposes its First Comprehensive Cyber and Data Security Rules

The Proposed Cyber Rules codify the requirement for advisers to maintain comprehensive cybersecurity policies and procedures and adhere to certain disclosure and recordkeeping requirements.

Failures to Safeguard Personal Information Costs Morgan Stanley Smith Barney $35 Million

On Sept. 20, 2022, the SEC charged MSSB regarding the firm’s failures to protect the PII of approximately 15 million customers over a five-year period.

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