Carl Ayers
This Risk Alert highlights the importance of conducting penetration tests and vulnerability scans on critical systems and implementing system upgrades on a timely basis
If cyber bad guys were to compete for attention with their handiwork, then the unknown creators of WannaCry could claim the title – until the ...
Despite a crackdown in recent years, brokers with disciplinary histories – and the firms that employ them – have continued to frustrate the long arm ...
Call it the trifecta. Barclays Capital May 10 settled with the SEC for a range of compliance missteps that included overcharging clients by millions of ...
It just might be the preeminent law firm used by investment advisers. But bet you didn’t know that Ropes & Gray also owns its own ...
The Advisers Act expects that access persons will report their securities transactions and that you’ll review them. A former SEC staffer found there’s a price ...
Memo to FINRA re blockchain: regulate the impacts, not the technology, and then proceed with caution. That’s the upshot of comments FINRA received in response ...
President Trump ordered agencies to re-examine regulations, a review now completed by CFTC Acting Chairman Christopher Giancarlo. In a speech May 10 in Lisbon, Portugal, ...