Cybersecurity

In a recent SEC enforcement action, a registered representative was suspended for 6 months and fined $75,000 for, among other things, forwarding confidential client information from his personal email to…
Continue Reading Don’t Forget This Data Security Risk

Other than the non-defined “culture”, FINRA’s 2016 exam priorities are also focused on supervision and risk management. At least these categories are a bit more defined so that you are…
Continue Reading So, I guess it is all about supervision and risk management after all

Most people say that New Year resolutions are only as good as the paper on which they are written. Notwithstanding that ringing endorsement, I will give it a shot.

Here…
Continue Reading Ten New Year Resolutions That Will Help Your Firm

A recent Investment News article highlighted issues investments advisors face regarding their cybersecurity programs when it comes to regulatory examinations.

First; don’t assume that your insurance policy covers the…
Continue Reading Who wants some additional ideas about cybersecurity

Any data security program has to have three critical components. Those key components are the following:

First; risk assessment. You must test, retest, and retest your systems (including your…
Continue Reading Who wants to know three key parts of a data security program

In order to have sound cyber-security protocols, you need to do more than just physically protecting your systems and having written supervisory programs. Specifically, you need to fully engage your…
Continue Reading How can your clients be part of your data security program

The SEC and FINRA have made it very clear that they are focused on senior customers and elder abuse. Granted, firms must be focused on the elder customers, but, at…
Continue Reading Why elder issues are not just about your clients