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
October 24 – 26, 2023 | Philadelphia, PA | Speaker: Michelle L. Jacko, CSCP, CEO
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
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
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
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
On episode 96 of the CCO Buzz podcast, Tina Mitchell, Managing Director of Consultation Services, discusses the 2022 SEC Exam Priorities.
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
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).
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
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