All Regulation S-P articles

  • 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.