All Regulation S-P articles

  • Cyber-security
    Article

    Roisman: SEC should consider stricter cyber reporting for public companies, advisers

    2021-11-02T20:38:00Z

    SEC Commissioner Elad Roisman says the agency should mull over whether to require public companies and investment advisers to perform the same kind of reporting, preparation, and planning for cyber incidents that FINRA requires of registered broker-dealers.

  • Cyber-security
    Article

    ​SEC sanctions 8 over email breaches

    2021-08-31T16:42:00Z

    The Securities and Exchange Commission penalized eight firms across three separate actions for breaches of employee email accounts that exposed the personal information of thousands of customers in each case.

  • riskalert
    Article

    OCIE issues risk alert on Regulation S-P

    2019-04-23T19:24:00Z

    The SEC’s Office of Compliance Inspections and Examinations has issued a risk alert on Regulation S-P describing the most common deficiencies it has uncovered in recent examinations of both registered investment advisers and broker-dealers.