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With Announcement of $1.25 Million Penalty, SEC Again Places Companies on Notice of Duty to Protect Customer Information

Jul 31 2018
Last week, the U.S. Securities and Exchange Commission announced a consent cease and desist order and sanctions against Mizuho Securities USA LLC for its failure to enforce policies and procedures designed to protect against the disclosure of material non-public information between “execution and sales traders” to other traders and externally to customers.

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In Wake of GDPR, U.S. States Continue to Strengthen Data Privacy Laws

Jun 4 2018
Now that the European Union’s General Data Protection Regulation has taken effect, many businesses are dealing with the inevitable post-compliance hangover, while others are breathing a sigh of relief that they were not impacted. For those businesses not impacted, it is important to remember that although they may not be subject to the GDPR, and there is no universal federal data protection law in the United States akin to the GDPR, there is still a significant number of federal and state data privacy laws to which they may be subject.

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