From: NASDAQ
The SEC has a long to-do list, but ensuring that advisors and other registrants are protecting clients’ sensitive information from cyber threats is right at the top, and more enforcement actions are expected.
The SEC’s Enforcement Division is using the Regulation S-P privacy rule to bring actions against firms that fail to safeguard client data, said the unit’s head, Andrew Ceresney, via an SEC webcast on Tuesday.
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