News & Insights: CyberSecurity

SEC’s 2027 Exam Priorities: What Your Compliance Program Needs to Strengthen

On October 23, the SEC’s Division of Examinations released its 2027 Examination Priorities. Conflicts of interest, private funds, Super Intelligence (SI), cybersecurity, and Regulation S-P are among the focus areas. Here’s what examiners will look for and the steps advisers should take to strengthen their compliance programs now.

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SEC’s 2027 Exam Priorities: What Your Compliance Program Needs to Strengthen

On October 23, the SEC’s Division of Examinations released its 2027 Examination Priorities. Conflicts of interest, private funds, Super Intelligence (SI), cybersecurity, and Regulation S-P are among the focus areas. Here’s what examiners will look for and the steps advisers should take to strengthen their compliance programs now.

EY Data Breach: A Reminder to Review Your Third-Party Vendor Risk

In a recent notice letter sent to clients, Ernst & Young (EY) disclosed a data breach involving a third-party service management platform that supports its tax-related client work.

ShareFile Security Alert: What RIAs Using Storage Zone Controllers Should Do

Data Breach Today released an article regarding Progress Software issuing a security alert urging organizations that use self-managed ShareFile Storage Zone Controllers to immediately shut down those systems due to a credible external security threat.

SEC Request Letter Could Signal Reg S-P Sweep

A recent SEC document request letter could be indicative of a long-predicted sweep of firms for the SEC to evaluate compliance with Amended Regulation S-P, according to at least one news outlet. Thirty items gleaned from a new SEC document request letter focus on cybersecurity protections and breaches.

Fidelity’s $1.25M Cybersecurity Fine: What It Means for Your Firm’s Controls

Fidelity Brokerage Services has agreed to pay $1.25 million after it failed to enforce “appropriate cybersecurity controls” in 2024, leading to a significant data breach affecting approximately 77,000 customers, according to an announcement by Secretary of the Commonwealth of Massachusetts William Galvin on April 27. 

Notepad++ Supply Chain Attack: What It Means for Your Software Update Policies

On February 2nd, 2026, the common text editor, Notepad++, shared an update to its initial announcement in December 2025 that it was the target of a software supply chain attack. According to the announcement, starting in June 2025, bad actors intercepted and redirected requests for updates to malicious infrastructure. These bad actors were then able to deliver malware through a software update channel that users trusted.

FINRA Phishing Scam Alert: How to Spot the Fake Regulatory Emails

We have been notified of a recent phishing email campaign impersonating FINRA. Multiple firms have reported receiving emails that appear to be from FINRA, reference regulatory reporting requirements, and include attachments.

SEC’s Reg S-P Document Request List: What Examiners Will Ask For

On January 22, 2026, the SEC held its final webinar on Amended Regulation S-P. This webinar focused on compliance issues for smaller entities with less than $1.5 billion in assets under management.

SEC Hosts Final Reg S-P Webinar for Small Firms: Key Takeaways

The SEC has announced it will hold its final Amended Regulation S-P outreach event on January 22, 2026, at 11:00 AM ET, in anticipation of the upcoming June 3, 2026, compliance deadline for small firms.

SonicWall Security Incident: What Firms Using Their Firewalls Should Check

SonicWall, a popular network security company that advisers and other financial institutions use for its firewall or router products, recently confirmed a security incident resulting in unauthorized access to configuration backup files for customers using its cloud backup service.

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