$200k fine against former dual registrant for email breaches

KMS lacked its own Incident Response Policy and used an Incident Response Policy tailored to a different Ladenburg subsidiary, which required completion of a particular incident response form but failed to include guidelines on timeframes or schedules for response activities

To read this article, you need to sign in.


You should only be asked to sign in once. Not the case? Click here


New to Regulatory Compliance Watch?

Register now to read this article and more for free.