Cybersecurity

Cybersecurity is clearly a concern that the entire business community shares, but it represents an especially malicious threat to smaller businesses. The reason is simple: ...

R.T. Jones stored sensitive personally identifiable information of clients and other persons on its third party-hosted web server without adopting written policies and procedures regarding ...

Gemmer Asset Management in California has given IA Watch permission to share with subscribers its cybersecurity plan. Perhaps you'll gain ideas to improve your approach ...

The SEC’s “Phase Two” of cybersecurity examinations has long been promised and a new OCIE risk alert released Sept. 15 signals that the time is ...

I’ve said before that my biggest fear is that we don’t see the next crisis coming. I certainly don’t think these new issues represent a ...

This comes from OCIE's 2015 risk alert announcing its second round of cybersecurity sweep exams.

OCIE staff will continue its focus on cybersecurity by conducting examinations of registered broker-dealers and investment advisers. The examinations will focus on key topics including ...

CGMI’s trade surveillance failed to detect these principal transactions for more than two years because it relied on an exception report that was not reasonably ...

The SEC has announced fraud charges against two Ukrainian hackers and a host of domestic and foreign traders in connection with an international trading scheme ...

The SEC charges, that over a five-year period, Ivan Turchynov and Oleksandr Ieremenko spearheaded the scheme, using advanced techniques to hack into two or more ...