In the last few years, Congress, the U.S. Securities and Exchange Commission (SEC), and the courts have significantly increased their efforts to grapple with insider trading in the realm of political intelligence. In 2012,...more
Highlights Areas of High Risk and Examination Priorities for Financial Industry Firms -
On September 15, the U.S. Securities and Exchange Commission’s (SEC’s) Office of Compliance, Inspections and Examinations (OCIE),...more
10/8/2015
/ Broker-Dealer ,
Cease and Desist Orders ,
Corporate Governance ,
Cyber Crimes ,
Cyber Incident Reporting ,
Cyber Insurance ,
Cybersecurity ,
Data Breach ,
Data Breach Plans ,
Data Loss Prevention ,
Data Privacy ,
Data Protection ,
Data Security ,
Encryption ,
Enforcement Actions ,
Hackers ,
Identity Theft ,
Neither Admit Nor Deny Settlements ,
OCIE ,
Personally Identifiable Information ,
Policies and Procedures ,
Registered Investment Advisors ,
Risk Alert ,
Sanctions ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Security Risk Assessments ,
Training ,
Unauthorized Access ,
Vendors
Following SEC Chair Mary Jo White’s recent remarks suggesting a change to the SEC’s long-standing policy of permitting defendants to settle cases “without admitting or denying” the SEC’s allegations of wrongdoing,...more
The enforcement mission of the Financial Industry Regulatory Authority is, by design, a public one....more