Category Archives: SEC Security Policies

FTC Safeguard Compliance, GLBA Compliance, SEC Security Policies

Security Policies for Regulation S-P: GLBA Data Privacy

Posted on by David Lineman
SEC Privacy S-P
09
Oct

In 2024 the SEC formally adopted updates to “Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information.” The rules apply to financial institutions that collect and manage nonpublic personal information about consumers (PII). First adopted in 2000, the privacy requirements have continually evolved and major updates were approved in 2024. The updated privacy […]

Continue reading →
Risk Assessment Policy, SEC Security Policies

Comply with new SEC Cybersecurity Risk Rules

Posted on by David Lineman

In May 2024 the U.S. Securities and Exchange Commission (SEC) adopted amendments to its Regulation S-P, adding to the cyber security requirements for registered investment advisers (including registered investment companies and investment funds. The final SEC cyber risk management rules require advisers and funds to adopt and implement a program with written cybersecurity policies and […]

Continue reading →
Information Security Policies, SEC Security Policies

Information Security Policy Lessons from Recent SEC Actions

Posted on by David Lineman

Many financial services firms are currently building programs to comply with the information security requirements of the Securities and Exchange Commission (SEC). In this article we discuss some key information security policy and compliance lessons that organizations can learn and adopt for their own programs.   In 2016 the SEC has increased its focus on cyber […]

Continue reading →