Archive for sec

SEC Fires $50 Million Shot Across the Bow: 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.

Have I Been Breached? A Step-by-Step Guide for Investment Management COOs to help Identify, Respond to, and 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.

SEC Cybersecurity Rule Changes: The Straight Path to Now

Understand the SEC’s proposed new cybersecurity rules, how we got to this point, and how to stay ahead.

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. 

SEC Rule 38a-2 Means You Can’t Ignore Cyber Governance Anymore

Learn about three key requirements and how to meet regulator expectations.

Changes in Cybersecurity are Coming in 2022

Cyber terrorists continue to target SEC registrants. Learn how to protect your firm in 2022.

SEC Sanctions Eight Firms for Cybersecurity Procedures. Are You Next?

Three fundamental governance guidelines to help ensure sure your firm doesn’t find itself in the hot seat.

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.