As we approach the end of the year, here are the Top 10 Cybersecurity posts on the Debevoise Data Blog in 2022 by page views. If you are not already…
On December 5, 2022, the Securities and Exchange Commission (the “SEC”) Division of Examinations (“EXAMS”) published a Risk Alert providing observations from recent examinations relating to investment adviser and broker-dealers’…
On September 20, 2022, the SEC announced settled charges and the imposition of a $35 million penalty against a dually registered investment adviser and broker-dealer (the “Firm”) for violations of Regulation…
On July 27, 2022, the Securities and Exchange Commission (“SEC”) separately charged three financial institutions with violations of Rule 201 of Regulation S-ID (“Reg S-ID”), also known as the Identity…
On April 26, 2022, the Division of Examinations (“EXAMS”) of the Securities and Exchange Commission (the “SEC”) issued a Risk Alert titled “Investment Adviser MNPI Compliance Issues” (“Risk Alert”) on…
On April 19, 2022, Kristin Snyder and Charu Chandrasekhar of Debevoise’s White Collar & Regulatory Defense Group, and Avi Gesser and HJ Brehmer of Debevoise’s Data Strategy & Security Group…
As more businesses adopt artificial intelligence (AI), directors on many corporate boards are starting to consider their oversight obligations. Part of this interest is related to directors’ increasing focus on…
On March 24, 2022, the Hedge Fund Law Report published an article on the recently proposed cybersecurity rules for investment advisers and registered investment funds, which featured an interview with…
On March 9, 2022, the SEC released its newest series of proposed cybersecurity rules, this time for all public companies. Consistent with the proposed rules issued last month for investment…
On February 9, 2022, the SEC released its much-anticipated proposed rules relating to cybersecurity risk management, incident reporting, and disclosure for investment advisers and funds. Many of the proposals follow…