by Ara Jabrayan | Oct 2, 2020 | Cyberattack, North American Securities Administrators Association (NASAA)
The North American Securities Administrators Association (NASAA) recently released its Investment Adviser Section Annual Report, which is filled with extremely important information for state-registered advisory firms. The report is available at... by Ara Jabrayan | Sep 11, 2020 | Code of Ethics, Cyberattack, Cybersecurity
On January 27, 2020, the SEC’s Office of Compliance Inspections and Examinations (OCIE) published observations from examiners pertaining to market participants’ cybersecurity and operational resiliency practices. Resiliency means more than just preventing or... by Ara Jabrayan | Sep 19, 2019 | Cyberattack, Cybersecurity, Regulation S-P, RIA Compliance, State Investment Adviser Compliance
As you may know, cyberattacks on an organization’s data information systems have been increasing at exponential rates throughout every industry. The financial services industry is increasingly victim to these crimes due to the proximity to investment capital and...
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