Cybersecurity
Get the latest news and insights on cybersecurity regulations affecting financial advisors, broker-dealers, RIAs and others in the financial services industry.
Cybersecurity
Cybersecurity Enforcement Actions May Have ‘Significant’ Fines: Sutherland
By Melanie WaddellAn SEC crackdown on cybersecurity is coming, law firm Sutherland Asbill & Brennan predicts, and the penalties could be steep.
January 30, 2014
SEC to CCOs: Don’t Ignore These IssuesRegulators are scrutinizing custody rule violations, cybersecurity, dually registered advisors and more.