Cybersecurity

Broker-dealer failed to establish and maintain a supervisory system "reasonably designed" to safeguard customer information

"Tying a programmer’s compensation to IT investment models that he could manipulate may have allegedly proven too tempting for an RIA’s computer wiz to secretly ...

Expect SEC examiners to inquire about your efforts to comply with amended Reg S-P, so it's best to document your compliance prep steps

The technology fits with the Commission’s growing oversight of the derivatives markets, including crypto assets

The Reg S-P issue stemmed from failing to notify insurance carriers when certain registered reps left the firm

Recent cyber incidents trigger trade associations to express concerns about the cyber risk management practices at federal regulatory agencies

An industry trade group has urged the SEC to get behind a 'public-private partnership' to urge anonymous submissions of known cyberattacks to alert the industry ...

Two new alerts address the "fast-flux" technique of bad actors and an alleged large-scale data breach possibly affecting Oracle Cloud services

The number of TCPA suits jumped 800% from 2023 to 2024, Compliance Point says

FINRA Forward is aimed at modernizing the SRO's rules, empowering broker-dealer compliance, and combatting cyber and fraud risks