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Cybersecurity

Sweep exams, risk alerts, regulator roundtables, pilot surveys, trade association guidance and almost daily headlines have made the issue of cybersecurity impossible to ignore for ...
Even with the best precautions, it’s possible a cyber bad guy could infiltrate your network. Should you find evidence of an intrusion, consider these steps: ...
That sweep of investment advisers and broker-dealers announced earlier this year to look at how firm’s deal with cybersecurity has concluded (IA Watch, April 21, ...
Odds are that within three feet of where you are lies your cell phone or other mobile device. These tools have become ubiquitous. It’s tempting ...
This form, courtesy of Ben Anderson, principal with Anderson PLC in Minneapolis, could be used for staff to seek permission to use their personal devices ...
State-registered investment advisers still have work to do when it comes to cybersecurity practices, reveals a new survey from the North American Securities Administrators Association. It ...
David Trujillo owes his job to what a security guard spotted in the parking lot of his firm’s office. A competitor sat in a car ...
The client was sharp enough to warn his adviser that his e-mail had been hacked “and to be on the lookout” for a fraudulent request ...
Three in four respondents to a new survey clicked off that cybersecurity's one hot topic. "That's probably the highest percentage we've ever had for a ...
By the time the SEC had focused its beam on cybersecurity, StephenSmetana had already taken action. The CCO at Angeles Investment Advisors ($1.7B in AUM) ...
Given that compliance and IT staff don't always speak the same language - and the SEC's hot interest in cybersecurity - you would be well ...
Financial services is target number 1 for cybercriminals, according to cybersecurity experts who spoke at last month's FINRA conference in Washington. And the threats are ...
Boards of Directors, Corporate Governance and Cyber-Risks: Sharpening the Focus Commissioner Luis A. Aguilar “Cyber Risks and the Boardroom” ConferenceNew York Stock ExchangeNew York, NY ...
Here are some cybersecurity tips courtesy of the Department of Homeland Security.
This is a cybersecurity planning guide from the Federal Communications Commission.
Luck struck twice recently for Tee Meeks, CCO of Waddell & Associates ($771M in AUM) in Memphis. First, she had the foresight to hire an ...
With the SEC's and FINRA's cybersecurity sweep exams in full swing, consider inventorying your firm's "information" to classify which data you regard as sensitive and ...
Only about 50 investment advisers and broker-dealers will be subjected to OCIE's cybersecurity sweep, but for those that are, you now have a clear idea ...
OCIE will be conducting examinations of more than 50 registered broker-dealers and registered investment advisers, focusing on areas related to cybersecurity. In order to empower ...
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