Cybersecurity

By the time the SEC had focused its beam on cybersecurity, StephenSmetana had already taken action. The CCO at Angeles Investment Advisors ($1.7B in AUM) ...

Given that compliance and IT staff don't always speak the same language - and the SEC's hot interest in cybersecurity - you would be well ...

Financial services is target number 1 for cybercriminals, according to cybersecurity experts who spoke at last month's FINRA conference in Washington. And the threats are ...

Boards of Directors, Corporate Governance and Cyber-Risks: Sharpening the Focus Commissioner Luis A. Aguilar “Cyber Risks and the Boardroom” ConferenceNew York Stock ExchangeNew York, NY ...

Here are some cybersecurity tips courtesy of the Department of Homeland Security.

This is a cybersecurity planning guide from the Federal Communications Commission.

Luck struck twice recently for Tee Meeks, CCO of Waddell & Associates ($771M in AUM) in Memphis. First, she had the foresight to hire an ...

With the SEC's and FINRA's cybersecurity sweep exams in full swing, consider inventorying your firm's "information" to classify which data you regard as sensitive and ...

Only about 50 investment advisers and broker-dealers will be subjected to OCIE's cybersecurity sweep, but for those that are, you now have a clear idea ...

OCIE will be conducting examinations of more than 50 registered broker-dealers and registered investment advisers, focusing on areas related to cybersecurity. In order to empower ...