Cybersecurity

In a new regulatory notice FINRA reported the coming launch of the Fraud Intelligence Fusion Center

The email account takeovers resulted in unauthorized, malicious phishing and credential-harvesting emails to many of the adviser's customers, potentially exposing their PII to bad actors

FINRA recommends firms "give careful consideration" to whether they fall into the "larger" or "smaller" category for purposes of coming compliance dates

Artificial intelligence makes scams even harder to detect.

Three tips for the unthinkable.

The fraudster persuaded Joe that the wired funds were necessary to 'secure' his account and that this was a standard part of the fraud prevention ...

Broker-dealer failed to establish and maintain a supervisory system "reasonably designed" to safeguard customer information

"Tying a programmer’s compensation to IT investment models that he could manipulate may have allegedly proven too tempting for an RIA’s computer wiz to secretly ...

Expect SEC examiners to inquire about your efforts to comply with amended Reg S-P, so it's best to document your compliance prep steps

The technology fits with the Commission’s growing oversight of the derivatives markets, including crypto assets