Washington Report 360 | July 26, 2019

SEC Risk Alert highlights compliance issues; NY Governor signs SHIELD Act; FTC privacy enforcement requirements; DOJ antitrust review.

Key highlights

  • An SEC Risk Alert highlights compliance issues observed during examinations of investment advisers that employ individuals with disciplinary events.
  • New York State Governor signs the SHIELD Act, which expands data breach notification requirements.
  • Market participants are reviewing FTC privacy enforcement requirements, including the creation of a board-level privacy committee, designation of privacy compliance officers, and certification by the CEO.
  • The Antitrust Division of the Department of Justice has announced it is reviewing whether “market-leading online platforms” are engaging in practices that may have “reduced competition, stifled innovation, and otherwise harmed consumers.”

Financial services legislative and regulatory news



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