Cybersecurity

FINRA has gotten the jump on the annual release of its examination findings and observations. Traditionally a year-end delivery, the SRO Oct. 16 published its ...

Tips to avoid some cybersecurity blunders

Eyes are peering upon a draft that could eventually become the SEC’s proposed new IA advertising rule. In yet another sign that a long-awaited proposal ...

Concerns about the protection of personally identifiable information included in the Consolidated Audit Trail has long been an issue for regulators and the industry. And ...

PCI failed to disclose the cyber breach to its customers in a timely manner

The same day OCIE put out its latest risk alert the agency held another outreach meeting, this time in Philadelphia (IA Watch, July 23, 2019). ...

Financial regulators should take “a holistic, financial sector-wide view” of cyber-security threats—which includes communicating better amongst the various agencies, a new review by the Council ...

And the beat goes on. For six years running, cybersecurity has remained the biggest compliance concern at SEC-registered investment adviser firms, according to an industry ...

Regulatory change was flagged as the perceived single biggest challenge facing compliance officers this year, according to Thomson Reuters Regulatory Intelligence’s 10th annual survey on ...

Two years after a noteworthy international hack of the SEC’s EDGAR system, the agency’s Office of Inspector General will be scrutinizing whether the Commission has ...