Teresa Goody Guillén

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2022 DSIR Deeper Dive: Increased Regulatory Scrutiny of Cybersecurity Incidents

By Teresa Goody Guillén and Andreas Kaltsounis on May 17, 2022 Posted in Data Security Incident Response

Our 2022 Data Security Incident Response Report discussed the increased regulatory scrutiny of cybersecurity incidents and defenses following a year of high-profile and damaging cyberattacks, including the Russia-based SolarWinds espionage campaign and the Colonial Pipeline ransomware attack. This article summarizes several U.S. government actions aiming to improve the nation’s cybersecurity and the government’s ability to … Continue Reading

SEC Scrutinizes Use of Fintech by Broker-Dealers and Investment Advisers

By Teresa Goody Guillén, Jonathan A. Forman and Madison Gaudreau on September 2, 2021 Posted in FinTech, FTC, SEC

The Securities and Exchange Commission (“SEC”) recently issued a request for information and public comment on the use of new and emerging technologies by investment advisers and broker-dealers that suggests potential regulatory action to come.[1] According to its release, the SEC is seeking to understand how registrants — whether online brokerages, robo-advisers, internet investment advisers, … Continue Reading