Tag: Cybersecurity
SEC’s Gensler Addresses FinTech Priorities
SEC’s Gensler Addresses FinTech Priorities Chairman Says He’s Technology-Neutral, But not Public Policy-Neutral September 3, 2021 Observing that “[n]ew financial technologies continue to change the face of finance for...
September 07, 2021
Tags: FinTech, Cybersecurity, Digital Assets, Gary Gensler
SEC Charges Account Takeover Victims for Deficient Cybersecurity Policies and Procedures that Expose
SEC Charges Account Takeover Victims for Deficient Cybersecurity Policies and Procedures that Exposed PII of Thousands of Clients September 3, 2021 Two SEC-registered investment advisers, four dual registrants, and...
September 03, 2021
Tags: Cybersecurity, SEC Enforcement
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 in cloud-based email accounts being taken over by unauthorized third parties.
September 03, 2021
Tags: Cybersecurity, SEC Enforcement
SEC’s Gensler Addresses FinTech Priorities
Observing that “[n]ew financial technologies continue to change the face of finance for investors and businesses” globally, SEC Chair Gary Gensler used a recent opportunity to appear before the European Parliament’s Committee on Economic and Monetary Affairs to address several areas where finance and technology intersect.
September 03, 2021
Tags: FinTech, Cybersecurity, Digital Assets, Gary Gensler
SEC Offering Amnesty to Firms Impacted by SolarWinds Cyberattack – If They Cooperate
The SEC’s Enforcement staff is conducting an investigation related to the widely publicized December 2020 SolarWinds cyberattack. As part of this investigation, beginning on June 17, the staff sent letters to regulated entities it believed may have been victims of the cyberattack, including public and private companies, investment advisers, broker-dealers, transfer agents, clearing agencies, and exchanges.
July 19, 2021
Tags: Cybersecurity, Enforcement
DOL Issues First Ever Cybersecurity Guidance
The DOL’s Employee Benefits Security Administration has issued its first ever cybersecurity guidance to help plan sponsors, fiduciaries, and record keepers protect plan participants and assets from both internal and external cyber risks.
April 16, 2021
Tags: Cybersecurity, DOL, Retirement Plans
Five Tips for Staying Ahead of Changing Cyber, Privacy Rules
Panelists at the 2021 IAA Investment Adviser Compliance Conference reviewed the rapidly evolving cybersecurity and data privacy environment. Here are their top tips for how investment advisers can stay one step ahead.
April 07, 2021
Tags: Privacy, Compliance Conference, Cybersecurity, Takeaways
Virginia Second Major State to Adopt Significant Data Privacy Law
Virginia has earned the distinction of being the second major state (after California) to adopt a significant data privacy law.
March 10, 2021
Tags: Privacy, Cybersecurity
OCIE Warns of Increased Cybersecurity Attacks Involving “Credential Stuffing”
The SEC’s Office of Compliance Inspections and Examinations (OCIE) has issued a Risk Alert on defenses against a cyber attack method called “credential stuffing.”
September 23, 2020
Tags: OCIE, Cybersecurity, Risk Alert
Business Continuity Planning related to COVID-19 is now the top concern of investment management compliance professionals – edging out Cybersecurity, which had headed their rankings of hot topics for six consecutive years.
July 17, 2020
Tags: BCP, Compliance, Compliance Testing Survey, Coronavirus, COVID-19, Cybersecurity
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