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Cybersecurity
Seeing continued “problematic” cybersecurity practices in its examination and risk monitoring program, FINRA has stepped in with a new report detailing “effective practices” it has ...
Dubiel, without giving notice to the affected clients, shared his First Allied confidential client account log-in credentials with Woodard. Dubiel knew Woodard was not registered ...
They put a lot of thought into their dastardly plan – and these cyber criminals knew they had to act quickly. IA Watch agreed ...
The Golden State takes pleasure in being the first in the nation at things and this record continues after the state has passed the country’s ...
The commencement of OCIE’s “Cyber 3” initiative (IA Watch, March 27, 2018) is expected at any time now, but the specter of being caught in ...
It wasn’t the first time the client had asked that his adviser transfer a couple hundred thousand dollars from his account to a third party. ...
A too narrow interpretation about requirements surrounding the disclosure of customer complaints resulted in LPL Financial failing to file or amend registered reps’ Forms U4 ...
A new report by the SEC details public companies targeted by cyber scammers, serving as a wake-up call for the industry. Of the nine companies ...
The SEC has settled with Voya Financial Advisors ($14.4B in AUM), citing the dual registrant’s poor cybersecurity controls in a case replete with lessons learned ...
Being indifferent about cybersecurity is simply not enough.[28] Boards have a fiduciary duty to shareholders. Shareholders and policymakers expect boards of directors to oversee and ...