Cybersecurity

The wild west of FinTech may have to be corralled before innovations like Blockchain or distributed ledger technology enjoy the widespread use its proponents imagine. ...

Technology is quickly taking us into new territory with vast ripple effects. What was once science fiction is becoming technological reality. Financial technology, or “FinTech” ...

This document request letter asks many questions about possible cybersecurity events suffered by the adviser

Companies, their managers, their boards, as well as their regulators, all need to do a better job in recognizing and addressing the significant risks that ...

a significant amount of AMP’s customers’ records and information were left unprotected for nearly ten months. In April 2017, as a result of this failure, ...

FINRA has released its 2018 regulatory and examination priorities letter. The 10-page letter includes new topics as well as ongoing focus areas. Fraud, high-risk firms ...

Cybersecurity is one of the top risks facing broker-dealers, according to a new report on FINRA examination findings released Dec. 8 by the SRO (BD ...

A last minute request by the national securities exchanges and FINRA to extend the CAT plan’s compliance date for reporting data to the central repository ...

In thinking about RegTech, however, I think it is critical that we include cyber-security and data-security as part of the broader discussion. Indeed, the increasingly ...

With the scale and scope of cyber attacks increasing, front-line staffs are scrambling to not only keep the bad guys out, but keep up with ...