Check out our resources related to data security and cybersecurity.
SEC Check-In: Four SEC Updates You Should Know About
The SEC has issued new rule change proposals and reopened a comment period on a previous rule proposal. Read on to learn more about these recent SEC updates.
Cybersecurity: A Question of When, Not If, Your Company Will Fall Victim
Financial firms, including broker-dealers and registered investment advisers, are at a high risk of cybersecurity attacks primarily because they control both their own data and the sensitive data related to clients.
More Summer Reading
If you still doubt the SEC’s focus on cybersecurity, it’s time for a reality check.
If You Hate Changing Your Password, Then Read This Article!
The National Institute of Standards of Technology (“NIST”) says you don’t need to change your password until it is compromised, which is like saying you don’t need to lock your door until a burglar has robbed you.
Why is Compliance Important?
RIA compliance programs are, unfortunately, often an afterthought. Joot explains why compliance programs are important for both you and your investors.
Like most legal documents, privacy policies are fairly bland, and, let’s be honest, few people read them.
The Securities and Exchange Commission Announces Enforcement Actions for Fiscal Year 2022
The Securities and Exchange Commission has announced its enforcement actions for the fiscal year 2022, totaling over $6.5 billion in money ordered. Click here to read more.
California recently passed amendments to the California Consumer Protection Act (“CCPA”), which took effect on January 1, 2020.