Cybersecurity

One of the primary ways we do that is with a focus on identifying and charging culpable individuals. Bad actors undermine the hard-earned trust essential ...

The number of state-registered investment advisers and SEC notice-filed IAs have increased in 2017-2018, according to the first-ever annual report snapshot of the state-registered investment ...

While The Robare Group’s enforcement case remains unresolved, the SEC isn’t giving up on the contention that the use of the word ‘may’ in describing ...

As a reflection of the risks cyber bad guys present, OCIE plans to launch its third cybersecurity sweep exam in four years (IA Watch, June ...

There are always new, very significant vulnerabilities in the cybersecurity environment, cautions FINRA’s VP for Cybersecurity John Brady. In a Feb. 27 podcast entitled FINRA ...

In short: the cyber threat is a corporate governance issue. The companies that handle it best will have relevant expertise in the boardroom and the ...

market leaders and regulators, we must take every step possible to thwart cyber-attacks on the world’s financial markets. The cyber threat must take priority, which ...

A recent SEC enforcement action against a former bitcoin-denominated platform and its operator hits squarely on two of the Commission’s hot focus areas—cryptocurrency and cybersecurity. ...

Everybody seems to be talking about cryptocurrencies. It’s one reason OCIE has made it a new item on its 2018 exam priorities’ list (IA Watch, ...

The SEC’s FY 2019 budget request tackles a three years running flat budget and two-year hiring freeze in a bid to stay on top of ...