Carl Ayers
Steve Flammey, CFO/CCO at Redwood Investments in Newton, Mass., shares a PPT shell that can serve as a model for you
Examiners also wanted to know if the firm has cybersecurity insurance and if it made any claims and what the amount of losses were
Reprinted with permission from the 2016 book Succeed With Senior Clients: A Financial Advisor’s Guide To Best Practices (www.aginginvestor.com; 844-315-4464)
Some insurers even maintain cryptocurrency wallets to expedite paying ransoms
“Quite frankly, it’s not if but when these days” that your firm will be hit with a cyber-attack
Beginning in December 2020, USAFS converted its clients from existing money market funds used in Sweep Accounts that paid revenue sharing to USAFS, to different ...
"The SEC is seeking comment on crypto custody arrangements by broker-dealers and relating to investment advisers. Custody protections are key to preventing theft of investor assets, ...
"We must ensure that whistleblowers are empowered to come forward when they see misbehavior; that they are appropriately compensated according to the framework established by ...
"I have directed the staff to prepare for the Commission’s consideration later this year potential revisions to these two rules that would address the concerns ...
"We would like to thank Pete Driscoll for his more than two decades of service to the SEC and his leadership of the Division of ...