Cybersecurity

The start of equities and options reporting has commenced

The hackers pierced the SEC EDGAR database and pocketed $270,000 in illegal insider trading profits before the day was over

Fraudsters are using the names of registered reps to establish imposter websites

Never use the same password for multiple sites when twinned with your e-mail address as a login “because the bad guys will just take your ...

I would have preferred the bolder step of confronting the CAT’s real and serious liberty implications

“The people doing this are people who were kicked out of the industry and are now paying people to do this for them,” believes Mohabir

A portion of the website links to an illegitimate registration site

Investment advisers and broker-dealers should take extra steps to make sure they’re validating investors’ identities and the authenticity of disbursement instructions, and have “a trusted ...

One contract clause in which the vendor disclaims “that their product would even work” drew special attention

Cyber-baddies targeting financial professionals have stepped up their game so now’s a good time for investment advisers and broker-dealers to step up, too, OCIE says ...