Latest cybersecurity

How Strong Is Your Cybersecurity Program?

The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) staff has compiled observations from its thousands of examinations to broker-dealers, investment advisers, clearing agencies, national securities exchange and other SEC registrants and shared some best...

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Latest cybersecurity

Why the SEC’s Scrutiny of Digital Assets Creates Opportunity for Financial Advisers

On October 11, 2019, the Securities and Exchange Commission announced it had filed an emergency action against two offshore entities for conducting an alleged unregistered and ongoing digital token offering in the U.S. and overseas that has raised more than $1.7 billion in investor funds.

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Cybersecurity - Email Security Steps

January 20, 2016

 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.

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Cybersecurity Vulnerability Assessments and Penetration Tests

January 14, 2016

 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 to have...

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Cybersecurity Governance

January 06, 2016

 

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Cybersecurity: Importance of Using a Minimum Two-Factor Authentication

November 10, 2015

 

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OCIE to Perform Second Round of Cybersecurity Exams

September 24, 2015

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SEC Fines Firm for Failure to Adopt Cybersecurity Policies and Procedures

September 23, 2015

 

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SEC Announces 2015 Compliance Outreach Program Seminars

May 04, 2015

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Cybersecurity Examination Sweep Summary

February 05, 2015

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The Big Four: Cybersecurity Tips

January 19, 2015

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National Examination Program's 2015 Priorities

January 13, 2015

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