In this month’s Risk Management Update, we’re highlighting recent insights and observations in the world of cybercrime. While there is nothing new about most of these activities, cybercriminals are continually adapting their methods to stay one step ahead of financial … Read More
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
By: 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, and text messages, or even … Read More
On episode 96 of the CCO Buzz podcast, Tina Mitchell, Managing Director of Consultation Services, discusses the 2022 SEC Exam Priorities.
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).