Home Cybersecurity

Cybersecurity

The International Securities Services Association grants IA Watch approval to share with you its cybersecurity glossary. It urges you to visit its web pages: https://www.issanet.org/e/pdf/2018-10_ISSA_Cyber_Risk_in_Securities_Services.pdf ...
This is a glossary of key cybersecurity terms.
OCIE chalked up more than 2,000 IA exams in FY 2018, visiting 17% of all firms. These numbers may be out of reach in FY ...
The benefits of self-reporting to the SEC can be seen in the latest Commission enforcement action involving an unregistered initial coin offering. A Washington, D.C.-based ...
FINRA is warning brokerage firms to keep an eye out for a fraudulent “phishing” e-mail scheme aimed at compliance personnel. An e-mail making the rounds ...
FINRA’s recently released 2019 Risk Monitoring and Examination Priorities letter takes a new tact this go round by emphasizing new focus areas not noted in ...
The unidentified public company uploaded a “test filing” that revealed its second quarter earnings to the SEC’s EDGAR system at 3:32 p.m. on a Thursday ...
When four reps left Summit Equities ($3B in AUM) in Parsippany, N.J., they took client personally identifiable information with them – and the adviser was ...
Seeing continued “problematic” cybersecurity practices in its examination and risk monitoring program, FINRA has stepped in with a new report detailing “effective practices” it has ...
April 1 is the deadline for you to comply with changes the National Futures Association is making to its cybersecurity rules, which the SRO announced ...
Dubiel, without giving notice to the affected clients, shared his First Allied confidential client account log-in credentials with Woodard. Dubiel knew Woodard was not registered ...
They put a lot of thought into their dastardly plan – and these cyber criminals knew they had to act quickly.  IA Watch agreed not ...
The Golden State takes pleasure in being the first in the nation at things and this record continues after the state has passed the country’s ...
It sounds like an exterminator’s dream. A “bug bounty.” But it’s really a way to discover flaws in your software before a cyber bad guy ...
The commencement of OCIE’s “Cyber 3” initiative (IA Watch, March 27, 2018) is expected at any time now, but the specter of being caught in ...
It wasn’t the first time the client had asked that his adviser transfer a couple hundred thousand dollars from his account to a third party. ...
A too narrow interpretation about requirements surrounding the disclosure of customer complaints resulted in LPL Financial failing to file or amend registered reps’ Forms U4 ...
A new report by the SEC details public companies targeted by cyber scammers, serving as a wake-up call for the industry. Of the nine companies ...
The SEC has settled with Voya Financial Advisors ($14.4B in AUM), citing the dual registrant’s poor cybersecurity controls in a case replete with lessons learned ...
Being indifferent about cybersecurity is simply not enough.[28] Boards have a fiduciary duty to shareholders. Shareholders and policymakers expect boards of directors to oversee and ...
rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination