Cybersecurity

In 2014 and 2011, FINRA reviewed firms' cybersecurity practices to better understand the types of cybersecurity threats firms face and how they counter these threats. ...

This Risk Alert provides summary observations from OCIE’s examinations of registered broker-dealers and investment advisers, conducted under the Cybersecurity Examination Initiative, announced April 15, 2014

Speaking in Tokyo, CFTC Chair Massad talks about everything from cybersecurity to global swaps regulation.

Fees and expenses for private equity fund advisers. Visits to never-been-examined investment companies. Cybersecurity. These are among the new items contained within OCIE’s just-released 2015 ...

(a) Each registered swap data repository shall, with respect to all swap data in its custody: (1) Establish and maintain a program of risk analysis ...

(a) A swap execution facility’s program of risk analysis and oversight with respect to its operations and automated systems shall address each of the following ...

(a) A designated contract market’s program of risk analysis and oversight with respect to its operations and automated systems shall address each of the following ...

(a) Definitions. For purposes of this section and § 39.34: Controls mean the safeguards or countermeasures employed by the derivatives clearing organization in order to ...

(a) Notwithstanding § 39.18(c)(2), the business continuity and disaster recovery plan described in § 39.18(c)(1) for each systemically important derivatives clearing organization and subpart C ...

Early in 2015, Garden State Securities ($135M in AUM) will uncork new risk-based supervisory policies and procedures, per new rules from FINRA that were effective ...