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Cybersecurity

An 8-page cybersecurity questionnaire for your vendors
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SIFMA plans to produce a public "after-action" report
Rule requires P&Ps to protect customer records and information
Lessons learned and best practices to bolster your cybersecurity
Firms should err on the side of disclosure when they’re facing cybersecurity threats, one of the SEC’s top enforcement officials said Oct. 23. “The fact ...
FINRA has gotten the jump on the annual release of its examination findings and observations. Traditionally a year-end delivery, the SRO Oct. 16 published its ...
Tips to avoid some cybersecurity blunders
Eyes are peering upon a draft that could eventually become the SEC’s proposed new IA advertising rule. In yet another sign that a long-awaited proposal ...
Concerns about the protection of personally identifiable information included in the Consolidated Audit Trail has long been an issue for regulators and the industry. And ...
PCI failed to disclose the cyber breach to its customers in a timely manner
The same day OCIE put out its latest risk alert the agency held another outreach meeting, this time in Philadelphia (IA Watch, July 23, 2019). ...
Financial regulators should take “a holistic, financial sector-wide view” of cyber-security threats—which includes communicating better amongst the various agencies, a new review by the Council ...
And the beat goes on. For six years running, cybersecurity has remained the biggest compliance concern at SEC-registered investment adviser firms, according to an industry ...
Having an entity test its ability to infiltrate your network stands as a confirmed cybersecurity best practice. However, you may want to ask your vendor ...
Regulatory change was flagged as the perceived single biggest challenge facing compliance officers this year, according to Thomson Reuters Regulatory Intelligence’s 10th annual survey on ...
Two years after a noteworthy international hack of the SEC’s EDGAR system, the agency’s Office of Inspector General will be scrutinizing whether the Commission has ...
Your local coffee shop may produce a quality cup of joe and offer you free Wi-Fi but be cautious that the service doesn’t come with ...
Cybersecurity-related deficiencies are “a top concern” of securities examiners across the North American Securities Administrators Association’s jurisdictions. That alarm bell sounded in NASAA’s Investment Adviser ...
During recent examinations, the Office of Compliance Inspections and Examinations (“OCIE”)∗ identified security risks associated with the storage of electronic customer records and information by ...
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