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Navigating state data privacy laws: A guide for SEC-registered investment advisers

Author

Listed:
  • Nelson, William

    (Assistant General Counsel, Certified Financial Planner Board of Standards, USA)

Abstract

This paper focuses on prominent issues surrounding state data privacy laws, specifically looking at the California Consumer Privacy Act (CCPA), which was amended and expanded by the California Privacy Rights Act (CPRA), the Colorado Privacy Act (CPA) and the Virginia Consumer Data Privacy Act (VCDPA). Due to the lack of a comprehensive federal privacy law, state data privacy laws have recently raised several issues for Securities and Exchange Commission (SEC)-registered investment advisers as they try to navigate through new markets and new industry practices. As such, this paper addresses the similarities and differences between the CPRA, CPA and VCDPA. The paper also provides compliance guidance for investment advisers to address the varying obligation under these laws.

Suggested Citation

  • Nelson, William, 2023. "Navigating state data privacy laws: A guide for SEC-registered investment advisers," Journal of Financial Compliance, Henry Stewart Publications, vol. 6(3), pages 281-290, March.
    • Handle: RePEc:aza:jfc000:y:2023:v:6:i:3:p:281-290
    as

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    More about this item

    Keywords

    SEC; investment adviser; compliance; data privacy;
    All these keywords.

    JEL classification:

    • G2 - Financial Economics - - Financial Institutions and Services
    • E5 - Macroeconomics and Monetary Economics - - Monetary Policy, Central Banking, and the Supply of Money and Credit
    • K2 - Law and Economics - - Regulation and Business Law

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