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.
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.
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.
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.Â
No vendor relationship is without risk. Use this cybersecurity checklist to ensure your vendors meet both your firmâs and the SECâs latest security standards.
Sometimes a cybersecurity emergency can feel like a battleground â and nobody wants to enter a war zone without a game plan. Learn more about preparing for cybersecurity tabletop exercises with our experts.
Here are some key takeaways from our recent webinar about the U.S. Securities and Exchange Commissionâs newest cybersecurity proposal.
Watch the experts discuss the steps organizations can take to manage risk and protect against spiking insurance premiums.Â
The 2021 Examination Security Priorities report noted that even with the shift to work-from-home environments, financial services maintained continuity, resiliency, and dependability.
Nearly 2,000 users of stock trading and investment app Robinhood are the latest victims of a steady string of financially motivated cyber-attacks.
Phishing attacks targeting private equity firmsâ portfolio companies arenât new, but the uncertainty surrounding COVID-19 has upped the game.
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.
This is the text content