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Cybersecurity
“Create a plan of action before we do anything,” Ingalsbe said of another lesson learned. “You have to have a team.” Legal and compliance should ...
Although it may not be easy, segment your network. Grant staff access only to the data they need. Cordon off especially sensitive data into a ...
SRO says "a key element in any firm's cybersecurity program is a robust authentication process"
The practice is "widely used" by broker-dealers, especially with customers
The government notes that firms that make ransomware payments "to cyber actors ... may risk violating OFAC regulations"
The association asserts that "NO personal information has been compromised”
FINRA cautions B-Ds on fraudulent e-mail purporting to be from SRO asking firms to complete survey
The latest sweep exam letter reveals a growing sophistication in OCIE’s grasp of cybersecurity
Examiners request extensive documents, including P&Ps and due diligence on cloud vendors
Keep an eye out for account takeover schemes and new account fraud
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