Cybersecurity

Nearly one-third of the surveyed broker-dealers and investment advisers responding to a Sutherland/Financial Services Institute cybersecurity benchmarking survey experienced a cybersecurity incident within the past ...

For three years, EU authorities have kicked around the idea of adopting a data protection regulation. Predictors believe that regulation will be finalized in the ...

Call it wire hacker fraud. It is not the most sophisticated cyber-scam. But too often it works. The nub of the racket: a client’s e-mail ...

A Threefold Cord1 — Working Together to Meet the Pervasive Challenge of Cyber-Crime

This SEC document request letter went to an Adviser within the SEC's San Francisco region in 2015. It includes questions about cybersecurity as well as ...

The purpose of MRAC is to provide the Commission with market intelligence and recommendations from industry about market risk and market structure issues. Our first ...

No business would risk operating today without backing up its computer systems. Yet if the bad guys got a hold of your backup tapes, they ...

It’s nice when you have something to compare an experience with, such as an SEC exam. Three compliance officers who’ve been through multiple exams separately ...

A best practice talked about often these days is to ship a cybersecurity questionnaire to your vendors. Some of your counterparties may even be sending ...

In April 2015, the Department of Justice put out these best practices for victims of cyber-attacks to consider following.