Category Archives: Financial
OCIE Warns Public Companies, SEC Registrants, Financial Institutions at Risk of Ransomware Attacks
The Office of Compliance Inspections and Examinations (OCIE) Cybersecurity Risk Alert reported increased ransomware attacks to SEC registrants (broker-dealers, investment advisers, and investment companies) and potentially service providers – especially if they maintain client assets or registrant records. Companies should be aware of the potential risks they face. (more…)
Cybersecurity Regulations: What the NYCRR 500 Deadline of March 1, 2019 Means to You
New York City is often referred to as the financial capital of the world; with the state of cybersecurity today and the increasing barrage of threats that financial related institutions must combat on a daily basis, it is no wonder that New York became the first state to take government action to do something about it. (more…)
