Cybersecurity

Last month we reported that the SEC’s latest cybersecurity sweep exam is in full swing (IA Watch, March 14, 2019). Now IA Watch shares with ...

The International Securities Services Association grants IA Watch approval to share with you its cybersecurity glossary. It urges you to visit its web pages: https://www.issanet.org/e/pdf/2018-10_ISSA_Cyber_Risk_in_Securities_Services.pdf ...

This is a glossary of key cybersecurity terms.

OCIE chalked up more than 2,000 IA exams in FY 2018, visiting 17% of all firms. These numbers may be out of reach in FY ...

The benefits of self-reporting to the SEC can be seen in the latest Commission enforcement action involving an unregistered initial coin offering. A Washington, D.C.-based ...

FINRA is warning brokerage firms to keep an eye out for a fraudulent “phishing” e-mail scheme aimed at compliance personnel. An e-mail making the rounds ...

FINRA’s recently released 2019 Risk Monitoring and Examination Priorities letter takes a new tact this go round by emphasizing new focus areas not noted in ...

The unidentified public company uploaded a “test filing” that revealed its second quarter earnings to the SEC’s EDGAR system at 3:32 p.m. on a Thursday ...

When four reps left Summit Equities ($3B in AUM) in Parsippany, N.J., they took client personally identifiable information with them – and the adviser was ...

April 1 is the deadline for you to comply with changes the National Futures Association is making to its cybersecurity rules, which the SRO announced ...