SEC Sends a Message to Investment Advisers: Take Secure Data Disposal Seriously

  On September 20, 2022, the Securities and Exchange Commission (SEC) settled an enforcement action with a large, registered investment adviser (the Firm) for alleged violations of the Safeguards Rule and the Disposal Rule of Regulation S-P that arose in the context of a data disposal process, imposing a $35 million penalty. Specifically, the SEC […]

The post SEC Sends a Message to Investment Advisers: Take Secure Data Disposal Seriously appeared first on Alston & Bird Privacy, Cyber & Data Strategy Blog.

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