SEC Sharpens Cybersecurity, Boosts RIA Exams

The SEC has sharpened its focus on cybersecurity in recent days, with its chairman Jay Clayton releasing a statement identifying it as a priority, and announcing by the creation of a cyber unit that will focus on targeting cyber-related misconduct. Additionally, the watchdog will also focus on the fiduciary rule and boost its RIA examination capacity, Clayton has told lawmakers.  MORE

Previous
Previous

Massive spike in deficiencies at smaller RIAs

Next
Next

Top 10 companies that phishing attackers impersonated in the first six months of 2017: