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      Page 25 - 期貨和衍生品行業(yè)監管動(dòng)態(tài)(2024年5月)
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      期貨和衍生品行業(yè)監管動(dòng)態(tài)
      
      
      
      
                         SEC Adopts Rule Amendments to Regulation S-P to Enhance Protection of
                         Customer Information (2024/5/16)
      
      
      
                              The Securities and Exchange Commission today announced the adoption of
      
                         amendments to Regulation S-P to modernize and enhance the rules that govern the
      
                         treatment of consumers’ nonpublic personal information by certain financial
      
                         institutions. The amendments update the rules’ requirements for broker-dealers
      
                         (including funding portals), investment companies, registered investment advisers,
      
                         and transfer agents (collectively, “covered institutions”) to address the expanded use
      
                         of technology and corresponding risks that have emerged since the Commission
      
                         originally adopted Regulation S-P in 2000.
      
      
                              “Over the last 24 years, the nature, scale, and impact of data breaches has
      
                         transformed substantially,” said SEC Chair Gary Gensler. “These amendments to
      
                         Regulation S-P will make critical updates to a rule first adopted in 2000 and help
      
                         protect the privacy of customers’ financial data. The basic idea for covered firms is if
      
                         you’ve got a breach, then you’ve got to notify. That’s good for investors.”
      
      
                              The amendments require covered institutions to develop, implement, and
      
      
                         maintain written policies and procedures for an incident response program that is
                         reasonably designed to detect, respond to, and recover from unauthorized access to or
      
      
                         use of customer information. The amendments also require that the response program
      
                         include procedures for, with certain limited exceptions, covered institutions to provide
      
                         notice to individuals whose sensitive customer information was or is reasonably likely
      
                         to have been accessed or used without authorization.
      
      
                              The amendments require a covered institution to provide notice as soon as
      
                         practicable, but not later than 30 days, after becoming aware that an incident
      
                         involving unauthorized access to or use of customer information has occurred or is
      
                         reasonably likely to have occurred. The notice must include details about the incident,
      
                         the breached data, and how affected individuals can respond to the breach to protect
      
      
      
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