Cybersecurity

"Cybersecurity incidents can lead to significant financial, operational, legal, and reputational harm for advisers and funds. More importantly, they can lead to investor harm"

"Absent circumstances that suggest deliberate or reckless disregard of known vulnerabilities by the firm, we should resist the temptation to pile on with an enforcement ...

There may be only four SEC commissioners instead of the usual five but they’re moving toward adopting the most significant new rules aimed at investment ...

Factors that go into the initial risk rating include the size of the firm, whether it maintains custody, if it employs many reps across numerous ...

A freshening up of Regulations SCI and S-P are among the changes that may be in the offing

This checklist comes largely from the National Institute of Standards and Technology's (NIST) cybersecurity framework and FINRA's Report on Cybersecurity Practices.

"I’ve asked staff to make recommendations for the Commission’s consideration around how to strengthen financial sector registrants’ cybersecurity hygiene and incident reporting"

Education, policies and technology can help prevent cyber threats.

The SEC has never fully revealed its secret sauce for exactly how it decides which advisers to examine but some common factors that go into ...

Many experts recommend firms adopt the framework to better protect their networks