On September 15, 2015, the Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) released a Risk Alert (the “2015 Risk Alert”) that announced its second round of cybersecurity...more
9/24/2015
/ Best Practices ,
Broker-Dealer ,
Compliance ,
Cybersecurity ,
Data Loss Prevention ,
Data Protection ,
Data Security ,
Financial Institutions ,
Financial Markets ,
Incident Response Plans ,
Investment Adviser ,
OCIE ,
Risk Alert ,
Securities and Exchange Commission (SEC) ,
Securities Exchanges
The National Futures Association (“NFA”) submitted to the Commodity Futures Trading Commission (“CFTC”) on August 28, 2015 a proposed Interpretive Notice (“Proposed Guidance”) for CFTC’s approval, which provides guidance to...more
9/10/2015
/ CFTC ,
Commodity Broker ,
Commodity Pool ,
Compliance ,
CPOs ,
Cybersecurity ,
Data Protection ,
Data Security ,
Data Storage Providers ,
Dealers ,
Financial Markets ,
Foreign Exchanges ,
Information Systems Security Program (ISSP) ,
Interpretive Rule ,
Investment Companies ,
Investment Company Act of 1940 ,
Investment Management ,
Mobile Device Management ,
Mutual Funds ,
National Futures Association ,
NIST ,
Personally Identifiable Information ,
Swap Dealers ,
Swaps ,
Third-Party Service Provider