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By Securities Docket on October 9, 2018, 10:56 am
What a mess. Let the onslaught of scrutiny begin, which in my opinion will undoubtedly include an investigation by the U.S. Securities and Exchange Commission (SEC), the federal regulator tasked with policing the disclosures to shareholders by public companies like Google. But what precisely will the SEC want to know? Assuming I am right about […]
By Securities Docket on October 9, 2018, 8:55 am
Get caught up with the Cybersecurity Docket News Wire for October 8, 2018.
By Securities Docket on October 9, 2018, 7:44 am
Five years ago, the Securities and Exchange Commission adopted a rule requiring investment firms to pay attention to identity theft. It never enforced it — until late last month. In a cease-and-desist order against Voya Financial Advisors, the investment advisory unit of Voya Financial, the commission used the “Identity Theft Red Flags Rule” to censure […]