It is bad enough that firms and publicly traded companies have to make sure that their respective IT architecture is safe and secure, but recent developments demonstrate that you have
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Federal and State Criminal Activities
The SEC May Be Getting A Longer Stick
By Joshua Horn on
Two years ago, the United States Supreme Court stated in an opinion that the five-year statute of limitations for the SEC to seek civil monetary sanctions began from the date…
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Who wants some advice regarding cyber-threats?
By Joshua Horn on
A recent article in Onwallstreet.com highlighted certain areas of focus for investment advisors/broker-dealers when it comes to addressing cyber-threats. The article focused on four areas of particular significance.
First,…
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So Who Wants To Give A Vendor Access To Your IT Systems
By Joshua Horn on
At one time or another, member firms will likely need the services of an outside vendor. This may be particularly true for smaller member firms. Outside vendors have their place,…
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So How Is Your Cybersecurity
By Joshua Horn on
The SEC and FINRA have continued to designate cybersecurity as an exam priority. Both the SEC and FINRA have also recently published the findings of their exam sweeps. As reported…
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Do You Need Another Reason To Take Cyber-Security Seriously
By Joshua Horn on
As we all know, the SEC and FINRA have made cyber-security an exam priority in 2014, but what does it mean when the audit of your regulator shows that it …
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Vilar Will Not Hinder U.S. Attorney From Pursuing Global Fraud
By Fox Rothschild on
The U.S. Attorney’s Office for the Southern District of New York has announced that its prosecutors will not be significantly impacted by a recent appellate court decision concluding that Morrison’s…
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NEW YORK AG PUSHES FOR COLLABORATION TO COMBAT NEW FORMS OF INSIDER TRADING
By Fox Rothschild on
New York Attorney General Eric Schneiderman is pushing for better cooperation with the financial industry and federal lawmakers to combat emerging insider-trading threats. While he commended competition among financial services…
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SDNY U.S. ATTORNEY NOW TURNS ON INSTITUTIONS
By Fox Rothschild on
Fresh from convicting numerous individuals, U.S. Attorney for the Southern District of New York Preet Bharara said that his office will focus, in appropriate cases, on holding institutions liable for…
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BULLSEYE! ATTORNEYS DEAD CENTER FOR REGULATORS
By Fox Rothschild on
We routinely report enforcement actions directed against lawyers because it simply never goes away. Attorneys are a major target for federal and state securities regulators. Regulators salivate over “getting” attorneys,…
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