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Tag Archives: Securities and Exchange Commission

Between a Rock and a Hard Place: SEC Disclosure Analysis in Light of Yahoo

Posted in Securities and Exchange Commission

On April 25, the Securities and Exchange Commission announced a settlement with Yahoo that constituted its first enforcement action against a public company for failing to disclose a data breach.

This settlement demonstrates that companies in post-data breach environments must … Continue Reading

New SEC Cybersecurity Guidance Outlines Disclosure Obligations

Posted in Data Security, Regulation, Securities and Exchange Commission

Last week, as previously reported, the U.S. Securities and Exchange Commission (SEC) unanimously voted to approve additional guidance for reporting cybersecurity risks. The release of this guidance underscores the SEC’s intent to prioritize cybersecurity compliance in 2018. The SEC … Continue Reading

SEC Freezes Hacker’s Assets

Posted in Data breach

Federal oversight related to hacking recently made headlines when a federal court in New Jersey granted the Securities and Exchange Commission’s (SEC’s) motion to freeze assets connected to a hedge fund manager accused of hacking unpublished news releases pertaining to … Continue Reading

SEC Division of Investment Management Issues Cybersecurity Guidance for Investment Funds and Advisers

Posted in Cybersecurity, Financial Services Information Management, Privacy by default

The U.S. Securities and Exchange Commission’s (“SEC”) Division of Investment Management (“Division”) recently released a Guidance Update (“Guidance”) highlighting the importance of cybersecurity for registered investment companies (“funds”) and registered investment advisers (“advisers”).  This Guidance is similar to the Department … Continue Reading