Cybersecurity

Your local coffee shop may produce a quality cup of joe and offer you free Wi-Fi but be cautious that the service doesn’t come with ...

Cybersecurity-related deficiencies are “a top concern” of securities examiners across the North American Securities Administrators Association’s jurisdictions. That alarm bell sounded in NASAA’s Investment Adviser ...

During recent examinations, the Office of Compliance Inspections and Examinations (“OCIE”)∗ identified security risks associated with the storage of electronic customer records and information by ...

Cybersecurity concerns have driven OCIE May 23 to release a new risk alert urging investment advisers and broker-dealers to “actively oversee any vendors” providing cloud ...

It is critical that the CFTC continues to work positively with its overseas regulatory counterparts, not just in the UK, but in all financial centers. ...

Strong compliance programs incorporate legal requirements and essential controls that are periodically reviewed and updated. As firms are confronted with technology-driven changes, new regulatory requirements, ...

The frequency of broker-dealers being victimized by imposter websites created to commit financial fraud appears to be rising. The alarming trend—whereby malicious parties design websites ...

Best practices include adding language to your terms of employment that prohibits a departing employee from taking sensitive client data; having departing employees sign an ...

Match your skill set against the ideal qualities of an effective CCO. Begin with knowing the Advisers Act, being empowered to enforce your firm’s compliance ...

A source passes on to us the document request letter that went to an adviser as part of OCIE's third cybersecurity sweep exam.