Cybersecurity

For a third consecutive year, cybersecurity remains the hottest compliance topic among investment advisers. Nearly 9 out of 10 IAs regard the safeguarding of critical information ...

The SEC's complaint and emergency application, filed on June 22, 2016 in federal court in New York, allege that in April and May, Mustapha hacked ...

IA Watch has obtained a second OCIE document request letter from its ongoing cybersecurity sweep. The good news for the industry is that the latest ...

In this international world of finance, it’s not uncommon for states-side advisers to manage wealth held by clients on the other side of the Atlantic. ...

A survey released June 16 by the Ponemon Institute and IBM Security reveals that the average cost of a data breach in the U.S. this ...

This is a second cybersecurity sweep letter that OCIE sent out in 2016. It reveals that this is likely the national letter being used in ...

Documenting when an employee leaves and that you’ve turned off their access to your network makes too  much sense in this world shaken so often ...

Evidence abounds that cyber-attacks are not just a problem for the industry giants. Witness FINRA’s new checklist to help small firms jumpstart their cybersecurity programs ...

Let me also note my willingness to finalize our proposal in phases. While this will of course be subject to a decision of the full ...

This proceeding arises out of MSSB’s failure to adopt written policies and procedures reasonably designed to protect customer records and information, in violation of Rule 30(a) ...