Archive for sec

Artificial Intelligence or Artificial Hype? Investment Firms Caught in the SEC’s Crosshairs

The cases of Delphia (USA) Inc. and Global Predictions Inc. underscore the SEC’s commitment to holding firms accountable for any misleading statements, especially when it comes to the use of AI.

Vital Lessons from LPL & Ameriprise Ahead of Copilot Implementation

Recent SEC actions against firms like LPL Financial and Ameriprise highlight the need for strong data governance, especially in electronic messaging. Consider this before implementing AI tools like M365 Copilot.

Guide to Identify, Respond to & Recover from a Cyber Breach

If your firm has fallen victim to a cybersecurity breach or incidentapid, a rapid response is critical. Here are the key steps to identifying whether or not your firm has been breached, and how to begin the recovery process if so.

What the SEC’s Proposed Changes to Reg S-P Mean for Your Firm

The proposed regulation is crucial for investment managers and financial advisors as it seeks to safeguard clients’ sensitive information and prevent it from falling into the hands of cybercriminals. 

Vendor Due Diligence Cybersecurity Checklist for New SEC Rules

No vendor relationship is without risk. Use this cybersecurity checklist to ensure your vendors meet both your firm’s and the SEC’s latest security standards.

The Importance of Tabletop Exercises

Sometimes a cybersecurity emergency can feel like a battleground — and nobody wants to enter a war zone without a game plan. Learn more about preparing for cybersecurity tabletop exercises with our experts.

What The New SEC Cyber Rules Mean for Hedge Funds

Here are some key takeaways from our recent webinar about the U.S. Securities and Exchange Commission’s newest cybersecurity proposal.

Shifting Cyber Landscape Putting Insurance Coverages at Risk

Watch the experts discuss the steps organizations can take to manage risk and protect against spiking insurance premiums. 

2021 SEC Division of Examinations Security Policies Report

The 2021 Examination Security Priorities report noted that even with the shift to work-from-home environments, financial services maintained continuity, resiliency, and dependability.

Hackers Compromise Nearly 2,000 Robinhood Accounts

Nearly 2,000 users of stock trading and investment app Robinhood are the latest victims of a steady string of financially motivated cyber-attacks.

Are Your Portfolio Companies Vulnerable to COVID-19 Phishing Scams?

Phishing attacks targeting private equity firms’ portfolio companies aren’t new, but the uncertainty surrounding COVID-19 has upped the game.

The COO’s Guide to Business Continuity During COVID-19

Here are steps to help you organize, prioritize, and ask the right questions to modify your Business Continuity Plan (BCP) to be airtight for the next business-impacting disaster.