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

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

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.

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,

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’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.

Cybersecurity is still the biggest compliance threat to RIAs.

An overwhelming percentage of RIAs — 83% — surveyed by the

It’s an email every financial advisor should expect to receive at least once.

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

Longtime compliance chief Beth Haddock talks to ThinkAdvisor about cybersecurity, Reg BI and making compliance training less boring.

Beth Haddock