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Cybersecurity Awareness Month: Four Things You Can Do Cyberattacks are now seen as the biggest risk to businesses – outranking COVID-19, economic turmoil, skills shortages, and other issues, according [...]
16 Wall Street Firms Charged by the SEC for Widespread Recordkeeping Failures What happened? On Sept. 27, 2022, the Securities and Exchange Commission (“SEC”) charged 15 broker-dealers and one [...]
NSCP Currents: Evolving Cybersecurity Expectations: The SEC Proposes its First Comprehensive Cyber and Data Security Rules
Evolving Cybersecurity Expectations: The SEC Proposes its First Comprehensive Cyber and Data Security Rules
Failures to Safeguard Personal Information Costs Morgan Stanley Smith Barney $35 Million What happened? On Sept. 20, 2022, the Securities and Exchange Commission (“SEC”) charged Morgan Stanley Smith Barney [...]
SEC Risk Alert on the New Marketing Rule: Act Now to Prepare What happened? Examiners will conduct “a number of specific national initiatives” that focus on the new Marketing [...]