On March 1, New York will go live with cybersecurity rules for financial service providers such as banks, insurance companies and others subject to the Department of Financial Services’ jurisdiction.
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Joshua Horn
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What’s the Deal with Data Breach insurance?
By Joshua Horn on
A recent Investment News article highlighted a burgeoning market for financial advisors looking to protect their practices; namely, data breach insurance. Although such insurance seems like a great idea, you…
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What are you doing to prevent a data breach
By Joshua Horn on
A broker-dealer recently agreed to pay a $650,000 fine after an OSJ’s cloud vendor failed to adequately protect customer information. Apparently, an outside hacker was able to gain access to…
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Dodd What
By Joshua Horn on
Now that the election is over, it remains to be seen whether a Trump administration will do away with Dodd-Frank and dump the Department of Labor fiduciary duty rule as…
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So Who Wants Senior Clients
By Joshua Horn on
In its never-ending effort to thwart senior investor fraud, FINRA recently proposed a new rule to the SEC. This proposal would require member firms to obtain the name of a…
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When just saying “no” is a good thing
By Joshua Horn on
In the hectic world of financial services, registered representatives and investment adviser representatives are always looking to increase their assets under management. At what cost? Are there situations where you…
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Do you really want to hire that broker with a checkered past
By Joshua Horn on
That is the question that the SEC has essentially posed for registered investment advisers in a National Exam Program Risk Alert. In doing so, the SEC has stated that it…
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Is this the first shot in the SEC’s war against social media?
By Joshua Horn on
The SEC has repeatedly included issues around social media in its annual exam priorities for investment advisers. With the SEC’s recent release of a final rule on the subject,…
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Who wants to chair a FINRA arbitration
By Joshua Horn on
Every time that I start a FINRA arbitration, I find myself having the same internal debate; did we pick the right person to serve as the arbitration chair. Unfortunately, you…
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Don’t Argue; The Client Is Always Right Even When They Are Not
By Joshua Horn on
Over the years that I have defended broker-dealers and investment advisors on customer-initiated claims, I have seen many things that would make any compliance officer cringe. One spine tingling (not…
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