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Cropped shot of unrecognizable businesspeople using their wireless devices in the office
In the new legal cases targeting advisers, the SEC cited their responsibilities under Advisers Act section 204 (reports by IAs) and the books and records ...
Cybercriminal experts solving IT problems
While the exam did ask about due diligence of third-party vendors, Patel contends the exam team went too far in inquiring whether the adviser tracks ...
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This P&P comes courtesy of SEC Compliance Consultants
Businesswoman Addressing Work Colleagues In Meeting Around Boardroom Table
The SEC’s Division of Examinations third risk alert of the year reminds advisers to include their branch offices in their compliance P&Ps, especially those designed ...
Group of business people cooperating while examining paperwork on a meeting in the office.
Firms should consider their entire organization, including branch offices, when implementing written policies and procedures for the safeguarding of customer records and information to ensure ...
Word In Wooden Cube
This new proposal from the SEC would revise Reg S-P to require IAs, ICs and B-Ds to "adopt written policies and procedures for incident response ...
Attractive man in glasses working with multiple electronic devices. Freelancer businessman has laptop and smartphone in hands and laptop on table with charts on screen. Multitasking theme.
The letter focuses on e-communications and sheds more light onto authorities’ interest in firms’ use of new communications platforms
Urban business woman using tablet computer and working
Sources assert this is an SEC enforcement letter that went to a broker-dealer in the agency's investigation of the business use of e-commmunications channels
Broken computer hard disk drive isolated on white background: abstract for data security, and data back up concepts.
Eliminating sensitive computer data can be as stubborn as a tempestuous two-year-old. But failing to do so, can come with a high cost
Digital illustration of hand reaching out from a laptop screen to steal a credit card. This illustrates the cyber crime of identity theft and credit card fraud.
The current Reg S-P requires firms to alert customers how they will use their information. The SEC proposed amending Reg S-P in 2008 but it ...

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