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
In early February 2022, the U.S. Securities and Exchange Commission (SEC) voted on the proposal of rules regarding cybersecurity risk management for the industry, specifically for registered investment advisers, and registered investment companies and business development companies (funds).
Today’s securities markets operate in a complex and seemingly instantaneous environment accelerated by the exponential growth of computing power and interconnectivity. This evolving market space has provided enormous opportunities for investors and investment professionals alike. The same can also be … Read More
On January 24, 2022, Chairperson Gary Gensler said the Securities and Exchange Commission (SEC) might extend regulatory responsibility for cyber-risk management by requiring third-party providers to have adequate safeguards in place to protect investors and ensure key services for them … Read More
On episode 95 of the CCO Buzz podcast, we discuss the the growing focus of regulators on cybersecurity!