As cybersecurity threats to the private and public sectors increase, the government has continued its efforts to enhance cybersecurity outside of government-controlled systems. On March 9, 2022, the U.S. Securities and...more
4/15/2022
/ Chief Information Security Officer (CISO) ,
Corporate Governance ,
Cyber Incident Reporting ,
Cybersecurity ,
Disclosure Requirements ,
Popular ,
Proposed Rules ,
Publicly-Traded Companies ,
Regulation S-K ,
Reporting Requirements ,
Risk Management ,
Securities and Exchange Commission (SEC)
In today’s asset management landscape, cybersecurity threats are omnipresent, and with constantly evolving tools of attack, actual breaches have become increasingly prevalent. As the complexity, scope, and frequency of cyber...more
3/2/2022
/ Broker-Dealer ,
Comment Period ,
Cybersecurity ,
Disclosure Requirements ,
Investment Adviser ,
Investment Companies ,
Popular ,
Proposed Rules ,
Registered Investment Advisors ,
Reporting Requirements ,
Risk Management ,
Securities and Exchange Commission (SEC)
The Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (the SEC) issued a risk alert (the risk alert) on August 12, 2020, highlighting COVID-19 pandemic-related risks and...more
8/19/2020
/ Broker-Dealer ,
Business Continuity Plans ,
Commodity Futures Modernization Act of 2000 (CFMA) ,
Compliance ,
Coronavirus/COVID-19 ,
Cybersecurity ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
OCIE ,
Popular ,
Remote Sales Transactions ,
Risk Alert ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Sensitive Business Information ,
Supervision
The U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) made several regulatory announcements this summer relating to cybersecurity, artificial intelligence (AI), and digital...more