Schwab IMPACT 2023 | How to Comply with the Latest SEC Rules and Prepare for Year End
October 24 – 26, 2023 | Philadelphia, PA | Speaker: Michelle L. Jacko, CSCP, CEO
Live Webinar – RIA Best Practices for Complying with the Proposed New Cyber Rule
June 1, 2023 | 9:00am PT Speaker: Michelle L. Jacko, CEO, and Christian Kelly, Chief Technology Officer, Xantrion Join our free live webinar on June 1st at 9 am PT to learn how the anticipated SEC New Cyber Rules could … Read More
Proposed Rules and Amendments Regarding Cybersecurity for Advisers and Registered Funds
In February of 2022, the SEC proposed Cybersecurity Risk Management Rules and Amendments (the “Proposed Rules”) that continue to focus on cybersecurity risks as an unavoidable reality for the financial markets and, specifically, for registered investment advisers who “increasingly depend … Read More
Compliance Evolution: Outsourcing Solutions for 2023
As the world of compliance in the investment advisory and broker-dealer spaces continues to evolve and the scope of required services expands, compliance professionals in the industry are leveraging technology and third-party vendors more than ever to meet the demands … Read More
Risk Alert Review: Elements of Regulation S-ID that Impact the Industry
By: Suzette Hagan, Compliance Consultant, & Christopher Hufty, Compliance Consultant In today’s electronically connected world, more and more exchanges are happening online, in terms of both sensitive information and currency. Be it communication through social media platforms, mobile applications, email, … Read More
Episode 96: How The 2022 SEC Exam Priorities will Affect Your Firm
On episode 96 of the CCO Buzz podcast, Tina Mitchell, Managing Director of Consultation Services, discusses the 2022 SEC Exam Priorities.
CRS | Cybersecurity | Investment Adviser | Risk Management Updates (RMU) | Securities and Exchange Commission (SEC)
SEC 2022 Exam Priorities – Learn How They Will Affect Your Compliance Program
The release of the exam priorities report[1] was later this year than in prior years but appears to be worth the wait. In this year’s report, the Securities and Exchange Commission (“SEC”) outlines, among others, five “significant” areas of focus. … Read More
Understanding the SEC’s Proposed Cybersecurity Risk Management Rules: Disclosure of Cybersecurity Risks and Incidents & Recordkeeping (Part 4)
In this four-part blog post series, we’ve been discussing proactive steps to the proposed changes to cybersecurity regulations announced by the U.S. Securities and Exchange Commission (SEC).
Understanding the SEC’s Proposed Cybersecurity Risk Management Rules: Reporting of Significant Cybersecurity Incidents (Part 3)
So far in this blog post series we’ve covered the understanding of the proposed rules and how to start implementing within your firm. When it comes the proposed cybersecurity regulations announced by the U.S. Securities and Exchange Commission (SEC), we … Read More
Understanding the SEC’s Proposed Cybersecurity Risk Management Rules: Where to Start (Part 2)
With the alarming increase in ransomware, cryptojacking, phishing and other related cyberattacks, the Securities and Exchange Commission (SEC) proposed new rules are designed to enhance cybersecurity preparedness to maintain orderly markets and protecting investors against cyber fraud. The proposed rule … Read More