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Cybersecurity (271)
Your search for Cybersecurity returned 271 results.
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3/14/2019 | Content area: Investment Adviser
OCIE chalked up more than 2,000 IA exams in FY 2018, visiting 17% of all firms. These numbers may be out of reach in FY 2019 (IA Watch, Jan. 10, 2019)...
2/21/2019 | Content area: Broker-Dealer
FINRA is warning brokerage firms to keep an eye out for a fraudulent “phishing” e-mail scheme aimed at compliance personnel. An e-mail making the roun...
2/21/2019 | Content area: Investment Adviser
The benefits of self-reporting to the SEC can be seen in the latest Commission enforcement action involving an unregistered initial coin offering. A W...
1/24/2019 | Content area: Broker-Dealer
FINRA’s recently released 2019 Risk Monitoring and Examination Priorities letter takes a new tact this go round by emphasizing new focus areas not not...
1/17/2019 | Content area: Investment Adviser
The unidentified public company uploaded a “test filing” that revealed its second quarter earnings to the SEC’s EDGAR system at 3:32 p.m. on a Thursda...
1/17/2019 | Content area: Investment Adviser
When four reps left Summit Equities ($3B in AUM) in Parsippany, N.J., they took client personally identifiable information with them – and the adviser...
1/10/2019 | Content area: Broker-Dealer
Seeing continued “problematic” cybersecurity practices in its examination and risk monitoring program, FINRA has stepped in with a new report detailin...
1/10/2019 | Content area: CPO/CTA
April 1 is the deadline for you to comply with changes the National Futures Association is making to its cybersecurity rules, which the SRO announced ...
12/26/2018 | Content area: Investment Adviser
Dubiel, without giving notice to the affected clients, shared his First Allied confidential client account log-in credentials with Woodard. Dubiel kne...
12/13/2018 | Content area: Investment Adviser
They put a lot of thought into their dastardly plan – and these cyber criminals knew they had to act quickly.   IA Watch agreed not to identify the CC...
12/13/2018 | Content area: Investment Adviser
The Golden State takes pleasure in being the first in the nation at things and this record continues after the state has passed the country’s first la...
12/06/2018 | Content area: Investment Adviser
It sounds like an exterminator’s dream. A “bug bounty.” But it’s really a way to discover flaws in your software before a cyber bad guy finds them and...
11/29/2018 | Content area: Investment Adviser
The commencement of OCIE’s “Cyber 3” initiative (IA Watch, March 27, 2018) is expected at any time now, but the specter of being caught in a regulator...
11/21/2018 | Content area: Investment Adviser
It wasn’t the first time the client had asked that his adviser transfer a couple hundred thousand dollars from his account to a third party. All seeme...
11/01/2018 | Content area: Broker-Dealer
A too narrow interpretation about requirements surrounding the disclosure of customer complaints resulted in LPL Financial failing to file or amend re...
10/18/2018 | Content area: Investment Adviser
A new report by the SEC details public companies targeted by cyber scammers, serving as a wake-up call for the industry. Of the nine companies eyed by...
9/27/2018 | Content area: Investment Adviser
The SEC has settled with Voya Financial Advisors ($14.4B in AUM), citing the dual registrant’s poor cybersecurity controls in a case replete with less...
9/27/2018 | Content area: Investment Adviser
Being indifferent about cybersecurity is simply not enough.[28] Boards have a fiduciary duty to shareholders. Shareholders and policymakers expect boa...
9/26/2018 | Content area: Investment Adviser
Over six days in April 2016, one or more persons impersonating VFA contractor representatives called VFA’s technical support line and requested a rese...
9/20/2018 | Content area: Broker-Dealer
We’ve written before about the old wire transfer scheme: an imposter hacks into a customer’s e-mail account to make unauthorized third-party withdrawa...


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