With the recent focus by the SEC and FINRA on cybersecurity for broker-dealers and investment advisers as a backdrop, FINRA recently brought and settled an enforcement action under SEC Regulation S-P against broker-dealer...more
Cybersecurity has increasingly become a critical issue for all types of businesses, few more so than broker-dealers, investment advisers and others in the financial sector. The cyber threat is much broader than customer data...more
5/7/2014
/ Audits ,
Broker-Dealer ,
CFTC ,
Cyber Attacks ,
Cybersecurity ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
NIST ,
OCIE ,
Personally Identifiable Information ,
Regulation S-P ,
Risk Assessment ,
Securities and Exchange Commission (SEC) ,
Security Audits