Cybersecurity

IAA/ICI believe it is 'increasingly important" that the SEC update the recordkeeping rule initially adopted in 1961

The FFIC is aimed at helping broker-dealers to combat cybersecurity and fraud threats

Try simply sending the vendor an email that states the vendor knows about the new notification requirements and revised Reg S-P

FINRA cautions that prompt injection attacks do not require a computer intrusion or some other unauthorized access

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 ...