Cybersecurity

FINRA cautions B-Ds on fraudulent e-mail purporting to be from SRO asking firms to complete survey

The latest sweep exam letter reveals a growing sophistication in OCIE’s grasp of cybersecurity

Examiners request extensive documents, including P&Ps and due diligence on cloud vendors

Keep an eye out for account takeover schemes and new account fraud

The form of cyber-attack employs compromised client login credentials

Proposed Rule 15(a)(2) would specify that the Commission may prevent the submission to EDGAR of any submission that poses a cybersecurity threat, including but not ...

OCIE encourages registrants to consider reviewing and updating their Regulation S-P and Regulation S-ID policies and programs to address the emergent risk of credential stuffing

“Assume that you made a mistake or someone else will make a mistake and have layers of defense,” asserts Ingalsbe

This is a cybersecurity checklist shared with permission of ISO Services

he aim is a more secure CAT, operating without sensitive PII