Cybersecurity

Consistent with the ongoing guidance/requirements from the SEC and FINRA, all firms must have and enforce data security policies and procedures.  Even the best policies and procedures may, however, not
Continue Reading A Data Breach! You Better Check The Law Of The States In Which You Have Customers

The SEC recently created a new position associated with cybersecurity; senior adviser to the chair for cybersecurity (Christopher R. Hetner). Mr. Hetner has an extensive background in information technology and,
Continue Reading The SEC Now Has A Lead Cybersecurity Senior Adviser: Now What?

It was great speaking at the May 17 New York NSCP regional conference on risk issues facing firms where Ernie Badway and I discussed cyber-security, risk issues, regulatory matters, issues
Continue Reading Take Away From The NSCP New York Regional Conference