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.
Understand the SEC’s proposed new cybersecurity rules, how we got to this point, and how to stay ahead.
Watch the experts discuss the steps organizations can take to manage risk and protect against spiking insurance premiums.Â
Learn about three key requirements and how to meet regulator expectations.
Cyber terrorists continue to target SEC registrants. Learn how to protect your firm in 2022.
Three fundamental governance guidelines to help ensure sure your firm doesnât find itself in the hot seat.
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