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SEC Names Two Regional Officials

Two SEC officials have been named to new positions. William Royer is the new head of the SEC’s examination program in its Atlanta Regional Office, and Lara Shalov Mehraban is the new associate regional director for enforcement in the New York Regional Office, the agency announced in September.
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SEC Takes Action Against Adviser After Cybersecurity Breach

Cybersecurity policies and procedures that protect sensitive client information are not voluntary. Failure to enact and implement proper measures can result in SEC charges – as it did for an investment adviser who last week was charged by the agency – of not properly safeguarding client information.
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