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

William Nelson
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William Nelson: Assistant General Counsel, Certified Financial Planner Board of Standards, USA

Journal of Financial Compliance, 2023, vol. 6, issue 3, 281-290

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.

Keywords: SEC; investment adviser; compliance; data privacy (search for similar items in EconPapers)
JEL-codes: E5 G2 K2 (search for similar items in EconPapers)
Date: 2023
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Persistent link: https://EconPapers.repec.org/RePEc:aza:jfc000:y:2023:v:6:i:3:p:281-290

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