Cybersecurity

With the SEC's and FINRA's cybersecurity sweep exams in full swing, consider inventorying your firm's "information" to classify which data you regard as sensitive and ...

Only about 50 investment advisers and broker-dealers will be subjected to OCIE's cybersecurity sweep, but for those that are, you now have a clear idea ...

OCIE will be conducting examinations of more than 50 registered broker-dealers and registered investment advisers, focusing on areas related to cybersecurity. In order to empower ...

Last week's SEC roundtable on cybersecurity painted a disquieting picture of the potential risks from bad elements intent on causing mischief within the connected world ...

The Commission�s Role in Addressing the Growing Cyber-Threat Commissioner Luis A. Aguilar March 26, 2014 *I would like to start by welcoming each of the ...

We told you last week that OCIE plans a sweep exam to gauge firms' ability to prevent and deal with cyber threats (IA Watch, March ...

As the SEC prepares this week to hold its upcoming cybersecurity roundtable, now's a good time to pass along tips to keep your firm away ...

Anxiety naturally would come to those advisers that have never been examined but yet realize they may soon be visited given OCIE's new initiative (IA ...

You'll be asked to comment on several proposed changes passed last week by FINRA's Board of Governors. These include a requirement that firms "include a ...