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Cybersecurity

The form of cyber-attack employs compromised client login credentials
Proposed Rule 15(a)(2) would specify that the Commission may prevent the submission to EDGAR of any submission that poses a cybersecurity threat, including but not ...
OCIE encourages registrants to consider reviewing and updating their Regulation S-P and Regulation S-ID policies and programs to address the emergent risk of credential stuffing
“Assume that you made a mistake or someone else will make a mistake and have layers of defense,” asserts Ingalsbe
“Data classification is right there in the beginning with risk analysis” when starting to confront cyber threats
This is a cybersecurity checklist shared with permission of ISO Services
Larger firms should find this checklist beneficial as well
he aim is a more secure CAT, operating without sensitive PII
The start of equities and options reporting has commenced
The hackers pierced the SEC EDGAR database and pocketed $270,000 in illegal insider trading profits before the day was over
Fraudsters are using the names of registered reps to establish imposter websites
Never use the same password for multiple sites when twinned with your e-mail address as a login “because the bad guys will just take your ...
Hester Peirce
I would have preferred the bolder step of confronting the CAT’s real and serious liberty implications
“The people doing this are people who were kicked out of the industry and are now paying people to do this for them,” believes Mohabir
A portion of the website links to an illegitimate registration site
Investment advisers and broker-dealers should take extra steps to make sure they’re validating investors’ identities and the authenticity of disbursement instructions, and have “a trusted ...
One contract clause in which the vendor disclaims “that their product would even work” drew special attention
Cyber-baddies targeting financial professionals have stepped up their game so now’s a good time for investment advisers and broker-dealers to step up, too, OCIE says ...
Cyber-baddies have gotten better at their ransomware and are targeting financial professionals, OCIE says in a new risk alert released July 10. Hackers are also ...
The coronavirus crisis has forced many firms to stitch together patchwork telecommuting arrangements even as the world economy faces its worst days since the 1930s. ...
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