9 cybersecurity steps the SEC wants to see
The SEC's cybersecurity punch list
The SEC has made no secret it expects advisors and brokers to ramp up their policies and procedures to
Solving the Cyber Security Problem: Mission Impossible
Why nothing is working in cyber security?
I spend a fair amount of time in my current role thinking about future cyber-attacks. Some folks may call this “threat modeling” or even “cyber threat intelligence.” I recently
Ransomware, Data Breaches Expose Gaps in Cyber Insurance Market
As U.S. companies grapple with cyber crime costs, indiscriminate ransomware attacks, and hundreds of millions of dollars in data breach fines, many seek protection in a normally predictable bet—insurance.
SEC Tells Firms to Stop Missing the Basics on Cybersecurity
The SEC’s Office of Compliance Inspections and Examinations (OCIE) reported in a recent Risk Alert that many investment advisers and broker-dealers are failing to comply with basic aspects of Regulation S-P,
New York Passes SHIELD Act Amending Data Breach Notification Law - The SHIELD Act significantly amends New York's data breach notification law and data protection requirements.
On July 25, 2019, New York Governor Andrew Cuomo signed into law the Stop Hacks and Improve Electronic Data Security Act ("SHIELD Act")
New York SHIELD Act Expands Privacy and Cybersecurity Obligations
New York’s new SHIELD Act:
Adds additional information types that may trigger a breach notification.
Requires notification upon unauthorized access to (not just acquisition of) protected information.
This is What Hundreds of RIA Compliance Officers are Worried About
Cybersecurity is still the biggest compliance threat to RIAs.
An overwhelming percentage of RIAs — 83% — surveyed by the
CNBC Cybersecurity blind spot is putting financial advisors and their clients at risk
It’s an email every financial advisor should expect to receive at least once.
Cybersecurity Threats Are Top RIA Concern In 2019, IAA Survey Says
For the sixth year in a row, cybersecurity remains the biggest compliance concern at registered investment adviser firms, with 83 percent calling it the “hottest” compliance topic and more than 70 percent
The Advisor Compliance Issue That's Bigger Than Reg BI
Longtime compliance chief Beth Haddock talks to ThinkAdvisor about cybersecurity, Reg BI and making compliance training less boring.
Beth Haddock