Cyber insurance appears to still be a mystery, although the first cyber liability policies appeared 20 years ago. What is covered? What is excluded? Why does the customer need it?

LAS VEGAS — Wealth management firms are overlooking a crucial line of defense when it comes to cybersecurity: their own employees.

Like prior OCIE risk alerts, this Risk Alert provides a road map for registered investment advisers and broker dealers to follow when developing or evaluating their data privacy

Each year, both the United States Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) issue guidance concerning their regulatory priorities

Following recent examinations of SEC-registered investment advisers and broker-dealers, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) published

On September 23, 2018, the North American Securities Administrators Association, Inc. (“NASAA”) released a proposed model rule for state-registered investment advisers (“state RIAs”) that would

Borden Ladner Gervais LLP

The Financial Industry Regulatory Authority (FINRA) is an independent, self-regulatory organization for brokerdealer firms doing business in the United States. FINRA is authorized by the United States Congress to protect American investors by making sure the broker-dealer industry operates