Conquering Current Compliance Challenges
June 12, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: May 15, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance

 
CYBERSECURITY ENFORCEMENT ACTIONS
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...
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...
7/10/2018 | Content area: Investment Adviser
The SEC charged that Ukrainian hackers used advanced techniques to hack into newswire services and steal hundreds of corporate earnings releases befor...
6/08/2016 | Content area: Investment Adviser
This proceeding arises out of MSSB’s failure to adopt written policies and procedures reasonably designed to protect customer records and information,...
6/08/2016 | Content area: Investment Adviser
Between 2011 and December 2014, Marsh was first a Client Service Associate and then a Financial Advisor at Morgan Stanley Smith Barney LLC (“MSSB”), a...
9/22/2015 | Content area: Investment Adviser
R.T. Jones stored sensitive personally identifiable information of clients and other persons on its third party-hosted web server without adopting wri...
8/19/2015 | Content area: Investment Adviser | Broker-Dealer
CGMI’s trade surveillance failed to detect these principal transactions for more than two years because it relied on an exception report that was not ...
8/13/2015 | Content area: Investment Adviser
The SEC charges, that over a five-year period, Ivan Turchynov and Oleksandr Ieremenko spearheaded the scheme, using advanced techniques to hack into t...
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