Emphasizing the critical importance of cybersecurity to registered investment companies (RICs), including insurance separate accounts and business development companies, and to investment advisers, the SEC’s Division of...more
On February 9, the New York Department of Financial Services (DFS) released a Report on Cyber Security in the Insurance Sector (Report), summarizing the results of a survey completed by 43 insurers about their cybersecurity...more
On February 3, the Securities and Exchange Commission (SEC) issued a Risk Alert prepared by its Office of Compliance Inspections and Examinations (OCIE) that summarizes the results of a sweep of more than 100 broker-dealers...more
Few topics are as hot as cybersecurity. Recent high-profile data breaches at national retailers have made cybersecurity a frequent topic on Capitol Hill and an issue of growing concern to average Americans. Not surprisingly,...more
4/23/2014
/ Broker-Dealer ,
Cybersecurity ,
Data Breach ,
Data Security Act ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Governance Standards ,
Investment Adviser ,
Regulation S-P ,
Securities and Exchange Commission (SEC) ,
U.S. Treasury