Cybersecurity

The last two years have seen the SEC adopt rules providing investors with disclosures on emerging risks like climate control, cybersecurity and SPACs

'Our primary goal is to provide relief'

Commission 'takes its cybersecurity obligations seriously,' Gensler claims

"The SEC takes its cybersecurity obligations seriously. Commission staff are still assessing the impacts of this incident .... The staff also will continue to assess ...

"Effective practices" highlighted for incident preparation and response, the reporting of cyber incidents, and available resources and contact information

Odds are your firm will suffer a computer breach, if it hasn’t already—and you may not even know it

FINRA enforcement action flags need to require multi-factor authentication for third-party service providers

'Managers and their fintech portfolio companies should take note,' expert says

While the exam did ask about due diligence of third-party vendors, Patel contends the exam team went too far in inquiring whether the adviser tracks ...

This form, courtesy of Ben Anderson, principal with Anderson PLC in Minneapolis, could be used for staff to seek permission to use their personal devices ...