Cybersecurity

All eyes and ears trained on the SEC’s two commissioner nominees when they appeared before the Senate Banking Committee on Oct. 24. Despite the nominee ...

Much attention has focused of late on the hack of the SEC, the same entity that OCIE examiners would ask you to upload your documents ...

The first phase of data reporting for the Consolidated Audit Trail scheduled for the middle of next month coupled with the recent announcement of the ...

In a highly anticipated OCIE risk alert released last month, the National Exam Program called out that cybersecurity remains one of the top risks for ...

Be sure you have a compliance P&P for alerting you when a transaction has cleared your CPO account. That’s a confirmed takeaway from a CFTC ...

Turns out OCIE’s on track to boost its 2017 exams even more than predicted (IA Watch, April 13, 2017). SEC Chair Jay Clayton told Congress ...

Over the course of 21 days, from at least March 3, 2016 through March 24, 2016, Tillage's fund administrator received seven fraudulent requests to transfer ...

You may well be among the millions of Americans shocked to learn of the widespread cyber hack of Equifax’s sensitive customer data to do what ...

Bad actors may have exploited “a software vulnerability” to gain access to non-public information within the SEC’s EDGAR system and used the data “for illicit ...

One of the effects we all spend a lot of time talking about – and worrying about—is cybersecurity. Unfortunately, we are all well aware ...