U.K. Privacy Regulator Clarifies How U.K. Firms May Respond to SEC Document and Records Requests
By EsqSocial Corporation 26/01/21
Key Points The United States Securities and Exchange Commission (SEC) is able to make requests of U.K. firms (including U.K. branches of non-U.K. firms) to provide books and records and other documents of SEC regulated entities, such as investment advisers and broker-dealers, as well as companies with U.S. securities that maintain a U.K. presence. The requested records and documents can often contain personal data subject to the U.K. General Data Protection Regulation (U.K. GDPR), which is in...
By: Akin Gump Strauss Hauer & Feld LLP