Cybersecurity

In financial services, the role of protecting firms can’t be compliance’s alone. Senior leaders must feel “a sense of urgency"

The proposed expansion would add the following entities to the definition of ‘‘SCI entity’’: registered security-based swap data repositories; registered broker-dealers exceeding an asset ...

The SEC proposes a new rule and form and amendments to existing recordkeeping rules to require broker-dealers, clearing agencies, major security-based swap participants, the Municipal ...

“Rip their network cable out of the wall. Turning the machine off is not enough” of the employee’s computer that unleashed the attack. If you’re ...

The letter focuses on e-communications and sheds more light onto authorities’ interest in firms’ use of new communications platforms

“Data classification is right there in the beginning with risk analysis” when starting to confront cyber threats

Eliminating sensitive computer data can be as stubborn as a tempestuous two-year-old. But failing to do so, can come with a high cost

Technological advancements, changing demographics and rapid growth are capturing the attention of the Division of Investment Management

You now have until May 22 to share your comments with the SEC

Proponents see existential threats grow exponentially