The SEC continues to ramp up its exam and enforcement focus on cybersecurity, focusing on cyber breach response procedures and protection of client information.
Lessons Learned for Cloud-Based Email Accounts Two SEC-registered investment advisers, four dual registrants, and two broker-dealers have paid a total of $750,000 to settle charges involving cybersecurity failures that resulted...
SEC Offering Amnesty to Firms Impacted by SolarWinds Cyberattack – If They Cooperate July 19, 2021 The SEC’s Enforcement staff is conducting an investigation related to the widely publicized...
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