Cybersecurity

As the SEC prepares this week to hold its upcoming cybersecurity roundtable, now's a good time to pass along tips to keep your firm away ...

Anxiety naturally would come to those advisers that have never been examined but yet realize they may soon be visited given OCIE's new initiative (IA ...

You'll be asked to comment on several proposed changes passed last week by FINRA's Board of Governors. These include a requirement that firms "include a ...

In a few months, SIFMA is expected to release suggestions that might help the industry beef up its cybersecurity. That's when the organization will release ...

Just because a firm is an introducing broker-dealer that doesn't provide customers with access to the market doesn't mean the firm is automatically excluded from ...

This SEC rule is designed to protect against a client's identity being stolen

Last month the SEC's Corporation Finance division urged public companies to consider the risk of a cyber attack and to disclose those risks to investors. ...

Three waste baskets occupy each office at John A. Wolfe & Associates ($400M in AUM) in Portage, Mich. One takes standard trash. A second is ...