Insider trading is a front-and-center issue for the SEC, and consequently must be for financial services firms as well. The SEC included misuse of material non-public information (MNPI) on its list of 2022 exam priorities for...more
5/11/2022
/ Bank Secrecy Act ,
Broker-Dealer ,
Enforcement Priorities ,
Financial Institutions ,
FinCEN ,
Insider Trading ,
Material Nonpublic Information ,
Risk Alert ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Securities Violations ,
Suspicious Activity Reports (SARs)
Given the continued popularity of recommending wrap fee programs to clients, the Securities and Exchange Commission’s (“SEC”) Division of Examinations (“DOE”) recently released a Risk Alert dated July 21, 2021, wherein it...more
The SEC's Office of Compliance and Examinations (OCIE) issued a risk alert on July 10th about its observation of an apparent increase in sophistication of ransomware attacks on SEC registrants, including broker-dealers,...more
The SEC’s Office of Compliance and Examinations (OCIE) issued a risk alert on July 10 about its observation of an apparent increase in sophistication of ransomware attacks on SEC registrants, including broker-dealers,...more
7/17/2020
/ Corporate Counsel ,
Cyber Attacks ,
Cybersecurity Information Sharing Act (CISA) ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Homeland Security Cybersecurity & Infrastructure Security Agency (CISA) ,
Malware ,
OCIE ,
Publicly-Traded Companies ,
Ransomware ,
Risk Alert ,
Risk Management ,
Securities and Exchange Commission (SEC)