The SEC has again signaled that now is the time for investment advisers and broker-dealers to get serious about compliance with Reg. S-P. For years, the SEC’s examination priorities have included a focus on cybersecurity...more
4/26/2019
/ Broker-Dealer ,
Customer Information ,
Cybersecurity ,
Data Breach ,
Data Privacy ,
Data Protection ,
Investment Adviser ,
Notice Requirements ,
OCIE ,
Opt-Outs ,
Policies and Procedures ,
Privacy Policy ,
Regulation S-P ,
Regulatory Requirements ,
Risk Alert ,
Risk Mitigation ,
Securities and Exchange Commission (SEC)
On October 16, 2018, the SEC released an Investigative Report detailing recent email spoofing schemes that caused nine public companies to lose a total of nearly $100 million. Building on its February 2018 guidance about the...more
10/19/2018
/ Accounting Controls ,
Cyber Attacks ,
Cyber Threats ,
Cybersecurity ,
Data Breach ,
Disclosure Requirements ,
Email ,
Employee Training ,
Internal Controls ,
Investors ,
Policies and Procedures ,
Popular ,
Publicly-Traded Companies ,
Risk Management ,
Scams ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Spoofing ,
Wire Fraud