Securities Enforcement and Regulatory Update

U.S. SEC Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information Amendments Adopted

June 4, 2024

On May 16, 2024, the U.S. Securities and Exchange Commission (SEC) adopted amendments to its Regulation S-P. These final amendments impose significant cybersecurity requirements for several SEC-registered entities and transfer agents registered with another appropriate regulatory agency, including with respect to these entities’ policies and procedures, incident response and notification procedures, and cybersecurity risk management.

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