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Cybersecurity (291)
Your search for Cybersecurity returned 291 results.
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7/18/2019 | Content area: Investment Adviser
Having an entity test its ability to infiltrate your network stands as a confirmed cybersecurity best practice.   However, you may want to ask your ve...
7/18/2019 | Content area: Investment Adviser
And the beat goes on. For six years running, cybersecurity has remained the biggest compliance concern at SEC-registered investment adviser firms, acc...
7/05/2019 | Content area: Investment Adviser
Regulatory change was flagged as the perceived single biggest challenge facing compliance officers this year, according to Thomson Reuters Regulatory ...
6/07/2019 | Content area: Investment Adviser
Two years after a noteworthy international hack of the SEC’s EDGAR system, the agency’s Office of Inspector General will be scrutinizing whether the C...
6/04/2019 | Content area: Investment Adviser
Your local coffee shop may produce a quality cup of joe and offer you free Wi-Fi but be cautious that the service doesn’t come with a malicious slice ...
5/23/2019 | Content area: Investment Adviser
Cybersecurity-related deficiencies are “a top concern” of securities examiners across the North American Securities Administrators Association’s juris...
5/23/2019 | Content area: Investment Adviser | Broker-Dealer
During recent examinations, the Office of Compliance Inspections and Examinations (“OCIE”)∗ identified security risks associated with the storage of e...
5/23/2019 | Content area: Investment Adviser
Cybersecurity concerns have driven OCIE May 23 to release a new risk alert urging investment advisers and broker-dealers to “actively oversee any vend...
5/08/2019 | Content area: CPO/CTA
It is critical that the CFTC continues to work positively with its overseas regulatory counterparts, not just in the UK, but in all financial centers....
5/08/2019 | Content area: Broker-Dealer
Strong compliance programs incorporate legal requirements and essential controls that are periodically reviewed and updated. As firms are confronted w...
5/02/2019 | Content area: Broker-Dealer
The frequency of broker-dealers being victimized by imposter websites created to commit financial fraud appears to be rising. The alarming trend—where...
4/25/2019 | Content area: Investment Adviser
Wi-Fi can be so convenient – yet so risky.   OCIE’s new risk alert on Reg S-P warns of the use of “unsecure networks,” noting many firms don’t have co...
4/05/2019 | Content area: Investment Adviser
John Brennan, head of technology at Highfields Capital Management in Boston gives us permission to share his IS policy as reprinted in the book, The I...
4/04/2019 | Content area: Private Fund
Match your skill set against the ideal qualities of an effective CCO. Begin with knowing the Advisers Act, being empowered to enforce your firm’s comp...
4/04/2019 | Content area: Investment Adviser
Click here to download the AITEC's partial DDQ. The AITEC partnered with the Alternative Investment Management Association (AIMA) to produce this cyb...
3/29/2019 | Content area: Investment Adviser
A source passes on to us the document request letter that went to an adviser as part of OCIE's third cybersecurity sweep exam.
3/28/2019 | Content area: Investment Adviser
Last month we reported that the SEC’s latest cybersecurity sweep exam is in full swing (IA Watch, March 14, 2019). Now IA Watch shares with you a copy...
3/28/2019 | Content area: Investment Adviser
The latest twist in OCIE’s ongoing interest in how you’re protecting your firm’s cybersecurity plunges into how deeply you’re scrutinizing your vendor...
3/26/2019 | Content area: Investment Adviser
The International Securities Services Association grants IA Watch approval to share with you its cybersecurity glossary. It urges you to visit its web...
3/25/2019 | Content area: Investment Adviser
This is a glossary of key cybersecurity terms.


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