Cybersecurity

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 ...

'Current regime isn't working,' Peirce says

This is the SEC's new proposed rule directing IAs to gauge the potential of conflicts created by use of AI-like technologies

The adviser has established a committee to survey how AI may be being used throughout the organization and to potentially develop guidelines. 'We’re working across ...

'The SEC also could benefit from staff making greater use of AI in their market surveillance, and disclosure reviews, exams, enforcement, and the like'