Cybersecurity

"Conflicts may arise to the extent that advisers or brokers are optimizing to place their interests ahead of their investors’ interests. That’s why I’ve asked ...

'There’s a logical hole somewhere in the network architecture...'

'This is not where anybody wants to be a first mover...'

Grewal strongly cautioned that Enforcement has "zero tolerance for gamesmanship around the disclosure decision"

"Cybersecurity is therefore foundational to maintaining the integrity of not just our securities markets, but our economy as a whole"

Association cautions slew of adviser proposals will "significantly overhaul the current regulatory regime" under the Advisers Act

The advisory is aimed at assisting firms in better understanding ransomware tactics, techniques and procedures

These items are taken from a recent DOE exam request letter that focused on cybersecurity

Staff are asked how the vendor would connect with the firm’s system and how firm information would leave the premises. If a vendor would have ...

The CCO requests the documents annually but reserves an even more sophisticated review every three years. It pays a cybersecurity firm to conduct detailed due ...