The Financial Industry Regulatory Authority (FINRA) has issued its “Report on Selected Cybersecurity Practices – 2018” to provide further guidance to broker-dealer firms in developing and improving their cybersecurity...more
The U.S. Securities and Exchange Commission (SEC) recently announced a consent order settling an enforcement action brought by the SEC against Voya Financial Advisors Inc. (VFA) in connection with a data security incident...more
On September 15, 2015, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) issued a National Exam Program Risk Alert (2015 Risk Alert) to provide broker-dealers and investment...more
9/29/2015
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