2019 Annual Shareholders Service Group Conference
April 25, 2019 | Speaker: Michelle L. Jacko, CSCP
April 25, 2019 | Speaker: Michelle L. Jacko, CSCP
Even powerful entities like the U.S. government’s Securities and Exchange Commission (SEC) and major news agencies are not impervious to cyberattacks, despite the significant resources they dedicate to defending the valuable information they are responsible for.
Almost every organization that is responsible for storing sensitive data, including private-sector corporations, investment firms, and government agencies, understands that effective cybersecurity plays an important role in shielding individuals’ personally identifiable information (“PII”) from digital attacks of constantly increasing sophistication.
Our ever-increasing reliance on electronic devices and information technology to do business, combined with the constantly evolving methods used to electronically attack our firms and our clients, has elevated information security (cybersecurity) into a position of great importance.
Cybersecurity is regularly identified as one of the top concerns facing the financial industry as a whole.
On episode 33 of the CCO Buzz we discuss the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (“OCIE”) recent published National Exam Program Risk Alert titled, ” Observations from Investment Adviser Examination Relating to Electronic Messaging.”
In this CCO Buzz we discuss the newly released 2019 SEC Exam Priorities, as part of a two part series.
Cyberattacks pose a very real threat to all modern businesses, from massive corporate conglomerates to smaller local establishments, causing ever greater financial losses and increased headaches each year for all who are affected. As a result, more and more business … Read More
In September of this year, the Securities and Exchange Commission (“SEC”) charged Voya Financial Advisors, Inc. (“VFA”) with violating Rule 30(a) of Regulation S-P (“Privacy Safeguards Rule”) and Rule 201 of Regulation S-ID (“Identity Theft Rule”) due to VFA’s failure … Read More