Cybersecurity

Turns out OCIE’s on track to boost its 2017 exams even more than predicted (IA Watch, April 13, 2017). SEC Chair Jay Clayton told Congress ...

Over the course of 21 days, from at least March 3, 2016 through March 24, 2016, Tillage's fund administrator received seven fraudulent requests to transfer ...

You may well be among the millions of Americans shocked to learn of the widespread cyber hack of Equifax’s sensitive customer data to do what ...

Bad actors may have exploited “a software vulnerability” to gain access to non-public information within the SEC’s EDGAR system and used the data “for illicit ...

One of the effects we all spend a lot of time talking about – and worrying about—is cybersecurity. Unfortunately, we are all well aware ...

Everyone is bracing for a cyber-attack. But what do you do when the unthinkable happens? Is your incident response team ready to roll? Who do ...

Many asset managers, broker-dealers and alternative managers appear to have a lack of confidence when it comes to their firms’ cybersecurity protections, according to the ...

It’s a reflection of how important the SEC considers cybersecurity that OCIE has now released its fourth risk alert on the topic in three years ...

The threat of a cyber attack is clear (BD Watch, July 27, 2017). Regulators’ expectations? Not so pristine. Both FINRA and the SEC, for example, ...

How you respond and how quickly you respond to a potential or actual data breach or loss is critical. Effectively communicating to your clients, employees, ...