Tag Archives: data privacy

OCIE Provides Registered Advisers and Broker-Dealers Guidance on Data Protection Compliance Obligations Under Reg S-P and Safeguards Rule

On April 16, 2019, the Securities and Exchange Commission’s Office of Compliance, Inspections and Examinations (SEC OCIE) issued a helpful Risk Alert relating to the privacy Regulation S-P (Reg S-P) and “Safeguards Rule” policies and procedures of registered investment advisers and broker dealers. The Risk Alert gives registered investment advisers and broker-dealers fair notice of … Continue Reading

Greenberg Traurig’s Koichiro Ohashi, Lori Nugent, and Jonathan Beckham to Participate in the ACCA and FIAJ Seminar on Cloud Computing Services Usage by the Financial Services Industry

Greenberg Traurig is proud to host and participate in the Asia Cloud Computing Association (ACCA) and the Futures Industry Association of Japan (FIAJ) program “Cloud Computing Services Usage by the Financial Services Industry – Business Models and Regulatory Approach” in the GT Tokyo office on Nov. 1, 2016. GT Shareholders Koichiro Ohashi and Lori Nugent … Continue Reading
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