Cybersecurity

"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 ...

New report offers an overview of one of the most active forms of ransomware in 2023 and recommends mitigation techniques

Examiners seek lists of employees, execs, board members with cyber responsibilities

You have until Oct. 10th to comment on the SEC's proposal directed at AI-related technology and conflicts involving IAs and B-Ds

The Commission’s action would create two new rules—one for B-Ds and a second for advisers—plus revise each regime’s respective books and records rules to mandate ...