January 28, 2020
In advance of National Data Privacy Day today, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE)…
Author: E.J. Yerzak
December 9, 2019
With less than one month before the California Consumer Privacy Act (CCPA) is effective, companies are preparing to update their…
October 7, 2019
Can we say that now? That’s what attendees at the recent CSS Compliance Conference in Scottsdale, Arizona wanted to find…
October 3, 2019
Regulators and legislators certainly have been busy in 2019, leaving little breathing room for financial firms. More data privacy laws…
September 13, 2019
The Commodity Futures Trading Commission (CFTC) isn’t holding back when it comes to holding firms accountable for protecting their client’s…
September 12, 2019
Cybersecurity regulations have landed ashore on the islands, and life is about to become anything but a beach for firms…
July 9, 2019
Cybersecurity is a risk that applies to firms both large and small without discrimination. Even very small advisory firms, which…
May 24, 2019
A sweep of investment advisers is underway by the U.S. Securities and Exchange Commission, which has sent out many letters…
May 24, 2019
Even your client relationship management (CRM) software may not be safe from hackers. That’s the lesson some advisers are learning…
February 11, 2019
After a number of firms struggled last year to get their marketing and information systems into compliance with the EU’s…
December 4, 2018
From the top of the world, it’s amazing what you can see. I recently had the opportunity to travel to…
October 8, 2018
Facebook just reported a massive data breach impacting over 50 million user accounts. And while most investment advisers are not…