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By Securities Docket on July 18, 2019, 8:34 am
Cybersecurity continues to be the top compliance worry for registered investment advisors, with 83% citing it as the “hottest” compliance issue and 70% revealing they’ve increased compliance testing for cyber infractions over the past year, according to the Investment Adviser Association’s annual compliance report. via Cybersecurity (Again) Is Advisors’ Top Compliance Concern | ThinkAdvisor.
By Securities Docket on July 15, 2015, 8:59 am
Cybersecurity is an “an operational risk issue, not generally owned” by a firm’s chief compliance officer and legal department, Daniel Sibears, FINRA’s EVP of regulatory operations said Tuesday at the joint FINRA and Securities and Exchange Commission Broker-Dealer Compliance Outreach Seminar in Washington. via Cybersecurity ‘Not Owned’ by Compliance but Shared: FINRA Exec. — ThinkAdvisor
By Securities Docket on February 3, 2015, 6:00 pm
As general counsel combat the constant threat of data breaches, their companies’ information security officers are the most likely colleagues on speed dial. But with breaches viewed as almost inevitable, law firms also play a critical role in helping general counsel navigate a patchwork of state laws and how to handle fallout when information is […]