SEC’s 2019 Priorities Should Become Your Firm’s Priorities

SEC Priorities

Every year, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) publishes its examination priorities to address risks that are a potential threat to investors or the integrity of the U.S. capital markets. On December 20, 2018, OCIE released its 2019 examination priorities, which are available at https://www.sec.gov/files/OCIE%202019%20Priorities.pdf. These priorities...

Read More

Tech Tuesday — DDoS: An Old Cyber Attack Becomes New Again

DDos cyber attack

As 2018 is on its way out, we reflect on the plethora of massive hacks resulting in endless concern for SMBs & enterprise security professionals as well as the necessary budgetary spend to mitigate and proactively defend against malicious actors. Yes, there’s been a shift in malicious actors’ attack vectors...

Read More

Lessons Learned from Recent Cybersecurity SEC Enforcement Action

cybersecurity

Cybersecurity SEC Enforcement Action On 9/26/2018 the Securities and Exchange Commission charged Voya Financial Advisors, Inc. (‘VFA”), with violating the Safeguards Rule and the Identity Theft Red Flags Rule, which are designed to protect confidential customer information and protect customers from the risk of identity theft. The SEC’s Order states...

Read More