Cybersecurity – Email Security Steps
In today’s world, emails are the main avenue of communication, both for personal and business purposes. However, accompanying that is the fact that email hacking has become more commonplace and hackers continue to find sophisticated ways to obtain illegal access.
Cybersecurity Vulnerability Assessments and Penetration Tests
Vulnerability assessments and penetration testing enter the realm of information security (IS) professionals. It is important to note that information security is a sub-specialty of information technology and most “IT guys” are not trained in information security. Therefore, it’s important … Read More
SEC to Propose New Rules for Registered Funds that Invest in Derivatives
Warren Buffet on Derivatives “In my view, derivatives are financial weapons of mass destruction, carrying dangers that, while now latent, are potentially lethal.” ~ Excerpt from the 2002 Berkshire Hathaway Annual Report Buffet’s comments were particularly prescient six years later … Read More
The Human Element of Cybersecurity
Beginning in 2014, both the Securities Exchange Commission (“SEC”) and FINRA began to examine the heightened risk financial services firms face regarding unauthorized access to the electronic data that these firms routinely maintain as part of their businesses. As part … Read More
‘Tis the Season: The Human Aspect of Project Management
“I don’t measure a man’s success by how high he climbs but how high he bounces back when he hits the bottom.” ~General George Patton As another year is quickly coming to a close, so often organizations reflect on metrics … Read More
Helpful Tips for New Chief Compliance Officers
A Different Perspective On November 30, 2015, SEC Commissioner Luis Aguilar published “Commissioner Aguilar’s (Hopefully) Helpful Tips for New SEC Commissioners.” What follows is an application of a portion of Commissioner Aguilar’s advice geared for a new Chief Compliance Officer … Read More
Project Management Lessons – Time and Money Aren’t Enough
All compliance officers are de facto project managers. Whether you are conducting an internal audit, authoring and implementing policies and procedures, rolling out new compliance technology, or training employees on compliance requirements – all these projects go towards helping your … Read More
SEC Chair White to Recommend Required Third-Party Compliance Reviews
In her testimony yesterday before the Committee on Financial Services of the United States House of Representatives SEC Chair Mary Jo White shared the following regarding third-party compliance reviews: At my direction, the staff is also preparing a recommendation to … Read More