WASHINGTON, D.C. (May 21, 2019) – In a significant step toward enhancing the cybersecurity and privacy practices of state-registered investment advisers, the North American Securities
Read MoreState securities regulators released a model cybersecurity rule package Tuesday, offering a regulatory framework that states can adopt to bolster protection of client data.
Read MoreCyber 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?
Read MoreLAS VEGAS — Wealth management firms are overlooking a crucial line of defense when it comes to cybersecurity: their own employees.
Read MoreLike 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
Read MoreEach year, both the United States Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) issue guidance concerning their regulatory priorities
Read MoreFollowing 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
Read MoreOn 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
Read MoreThe 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
Read More