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Cloud computing is transforming how broker-dealers operate by providing opportunities
Many firms called out importance of well-designed governance policies that lay out roles, processes, standards and accountability
Chairman talks market structure, gamification, disclosures, China, ESG, fee disclosures, cybersecurity, exams.
You can’t beat the price of the software that tests the strength of his firewall. “It’s absolutely free,” says the CCO
Safeguards Rule P&Ps, implementation trip up eight firms
Each of the firms were charged with Regulation S-P violations
None of the Cetera entities accounts had multi-factor authentication turned on
KMS lacked its own Incident Response Policy and used an Incident Response Policy tailored to a different Ladenburg subsidiary, which required completion of a particular ...
Cambridge did not require any other enhanced security measure to prevent similar compromises in the future, such as implementation of multi-factor authentication
The email account takeovers resulted in the exposure of Cetera Entities’ customers’ PII stored in the compromised email accounts. None of the compromised email accounts ...

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