This article originally published by The Global Association of Risk Professionals (GARP) Massachusetts Mutual Life […]
As a Former Chief Compliance Officer, I am frequently asked by my clients to help […]
RegEd 2015 Compliance Alliance Client Conference Date: May 4-6, 2015 Location: Raleigh Marriott City […]
Washington D.C., April 20, 2015 — The Securities and Exchange Commission today charged BlackRock Advisors […]
The world has changed in cyber space. It used to be a company could create […]
Amid a tough climate of regulatory enforcement and an explosion of new rules after the […]
The Differences Between Broker-Dealers and Investment Advisers Over the past few years, we have discovered […]
As we all contemplate our priorities for 2015, we can be rest assured that Cybersecurity will continue to be a focus area for FINRA, the SEC and other regulators in the coming year. Based on our understanding and utilization of the NIST CICS framework, we can offer your organization a best-in-class, cost effective assessment, training, and technological suite of solutions that can be tailored to meet your company’s specific needs, requirements and budgetary constraints.
In the wake of the many highly publicized data-breaches in 2014, our clients have reached out to us for advice and guidance in an effort to increase the overall awareness of Cybersecurity risk within their respective organizations.
The Securities and Exchange Commission (“SEC”) recently announced an enforcement action against two broker-dealers that […]
