The SEC has again signaled that now is the time for investment advisers and broker-dealers to get serious about compliance with Reg. S-P. For years, the SEC’s examination priorities have included a focus on cybersecurity...more
4/26/2019
/ Broker-Dealer ,
Customer Information ,
Cybersecurity ,
Data Breach ,
Data Privacy ,
Data Protection ,
Investment Adviser ,
Notice Requirements ,
OCIE ,
Opt-Outs ,
Policies and Procedures ,
Privacy Policy ,
Regulation S-P ,
Regulatory Requirements ,
Risk Alert ,
Risk Mitigation ,
Securities and Exchange Commission (SEC)
Adding insult to injury, the Securities and Exchange Commission (SEC) fined Voya Financial Advisors Inc. (VFA) $1 million and ordered a comprehensive two-year review by a compliance consultant, following a cyber-attack on...more
10/8/2018
/ Cyber Attacks ,
Cybersecurity ,
Data Protection ,
Financial Industry Regulatory Authority (FINRA) ,
Identity Theft ,
OCIE ,
Personally Identifiable Information ,
Policies and Procedures ,
Popular ,
Red Flags Rule ,
Risk Assessment ,
Securities and Exchange Commission (SEC)