News & Insights: Cyber Solutions

The CCPA Enforcement Date Is Approaching: What You Should Know

July 1, 2020, the California Consumer Privacy Act (CCPA) enforcement date is fast approaching. The original adoption of the regulations, on Jan. 1 of this year, contained a six-month enforcement delay.

Six Ways to Help Protect Your Firm from a Cybersecurity Breach

Between the changes in our work devices and the large influx of pandemic-related news, many emerging vulnerabilities exist in companies’ data security landscapes.

SEC Exams Now Focusing on Firms’ Pandemic Plans

In response to the pandemic, the SEC has a heightened focus on firms’ business continuity planning and practices.

COVID-19 UPDATE: How the SEC Continues Its Response Efforts

As efforts to contain the COVID-19 virus expand worldwide, the SEC remains focused on maintaining a fair and orderly market and continuing its operations. The Commission has transitioned most of its staff to work remotely and conducts remote exams and enforcement.

What Does OCIE Look for When Examining Cybersecurity Practices?

The Commission published “OCIE Cybersecurity and Resiliency Observations,” which outlines effective cybersecurity practices utilized by recently examined firms.

OCIE Releases 2020 Examination Priorities

OCIE released its 2020 Examination Priorities. The list is published annually to provide clear guidance to professionals and to highlight pertinent risks to investors.

Company Charged with Violating Regulation ATS After Releasing Confidential Information

The SEC released information that TMC Bonds LLC, operator of an alternative trading system (ATS), will pay $2.1 million after being charged for failing to protect confidential information in violation of Regulation ATS.

Alleged Cryptocurrency Scam Serves as Reminder of Digital Assets Risks

The SEC issued a press release regarding charges against Reginald “Reggie” Middleton and his two companies. The complaint, alleges that Middleton and his companies knowingly defrauded customers through the trade of a cryptocurrency called VERI tokens.

How are Advisers Selected for an OCIE Exam?

The reasons OCIE may select an adviser for examination are various and shifting, depending on commonly identified risk factors and changes in regulation. The SEC takes steps to be transparent about which conditions may cause an adviser to be selected for examination.

OCIE Warns of Cloud-Based Server Security Risks

OCIE discovered several security risks related to the storage of customer information by broker-dealers and advisers, particularly related to the use of cloud-based servers. The primary risk was found to stem from firms choosing not to utilize available security features on storage platforms.

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