Cybersecurity

One contract clause in which the vendor disclaims “that their product would even work” drew special attention

Cyber-baddies targeting financial professionals have stepped up their game so now’s a good time for investment advisers and broker-dealers to step up, too, OCIE says ...

Cyber-baddies have gotten better at their ransomware and are targeting financial professionals, OCIE says in a new risk alert released July 10. Hackers are also ...

The coronavirus crisis has forced many firms to stitch together patchwork telecommuting arrangements even as the world economy faces its worst days since the 1930s. ...

The coronavirus crisis caught almost everyone off guard. But now, two months into lockdown, and no date certain on when we’ll get back to “normal,” ...

The e-mails are made to appear as if they come from senior FINRA staff

Four compliance officers share their views on coping with the crisis

This list comes courtesy of Joseph Lazzarotti, a principal with Jackson Lewis in Berkeley Heights, N.J.

SRO has reported seeing successful "social engineering" attacks

His computer screen turned red and a message flashed that his data were being held for ransom