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Cybersecurity

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 ...
Last week's SEC roundtable on cybersecurity painted a disquieting picture of the potential risks from bad elements intent on causing mischief within the connected world ...
The Commission�s Role in Addressing the Growing Cyber-Threat Commissioner Luis A. Aguilar March 26, 2014 *I would like to start by welcoming each of the ...
We told you last week that OCIE plans a sweep exam to gauge firms' ability to prevent and deal with cyber threats (IA Watch, March ...
As the SEC prepares this week to hold its upcoming cybersecurity roundtable, now's a good time to pass along tips to keep your firm away ...
Anxiety naturally would come to those advisers that have never been examined but yet realize they may soon be visited given OCIE's new initiative (IA ...
You'll be asked to comment on several proposed changes passed last week by FINRA's Board of Governors. These include a requirement that firms "include a ...
In a few months, SIFMA is expected to release suggestions that might help the industry beef up its cybersecurity. That's when the organization will release ...
Just because a firm is an introducing broker-dealer that doesn't provide customers with access to the market doesn't mean the firm is automatically excluded from ...
Last month the SEC's Corporation Finance division urged public companies to consider the risk of a cyber attack and to disclose those risks to investors. ...
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