In This Presentation:
- WHY IS DATA PRIVACY AND SECURITY IMPORTANT?
..Why is it important to protect data?
..SEC Cybersecurity Risk Alert
- BEFORE THE BREACH
New FINRA Rule 5123 is now applicable and investment funds need to be cognizant of its requirements. Approved last June, Rule 5123 requires FINRA member firms (principally broker-dealers) participating in private placements...more