7 Simple tips for Cyber-Security for Broker Dealers and RIAs
Cyber-Security is a hot topic with the SEC and FINRA. Regulators have announced their examinations will include Cyber-Security and some
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SEC’s Branch Chief on Data Analysis and 9 things CCO’s should do
SEC’s Chief of Staff Andrew Donahue recently spoke at the National Regulatory Services Fall conference and gave CCO’s
Read more →SEC’s use of ‘Big Data’ anlaytics and Compliance
The SEC had a record year of 807 enforcement actions and orders for $8.2 Billion in penalties and
Read more →Is your compliance program automated or are you in the dark ages?
Firms and compliance officers are under severe regulatory pressure with increased enforcement actions by FINRA, the SEC and other regulators for ‘Failure
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