As reported in the May 2014 edition of Legal News: Investment Management Update, the SEC has made cybersecurity readiness a high-priority item to review when it conducts examinations of registered broker-dealers and...more
7/1/2014
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Affiliates ,
Broker-Dealer ,
Cybersecurity ,
Dodd-Frank ,
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Retaliation ,
Sanctions ,
Securities and Exchange Commission (SEC)