by Ara Jabrayan | Jan 10, 2023 | Best Execution, Books and Records, Chief Compliance Officer, Code of Ethics, compliance deficiencies, Compliance Violations, Cybersecurity, Deficiencies, Division of Enforcement, Division of Examinations, Duty of Care, Examination Priorities, Fiduciary Duty, Investment Adviser Code of Ethics, Investment Adviser Representative, policies and procedures, Press Releases, Registered Investment Advisers (RIAs), Regulation S-ID, RIA Compliance, RIA Compliance Policies, Safeguards Rule, SEC Cybersecurity, SEC Investment Adviser Compliance, SEC NEWS, SEC Rules, Standards of Conduct, Supervision Initiative
On December 5, 2022, the Division of Examinations (Division) published a Risk Alert that reported observations from recent examinations of SEC-registered investment advisers (RIAs) and broker-dealers related to their compliance with Regulation S-ID. The goal of the... by Ara Jabrayan | Sep 28, 2021 | Cybersecurity, Investment Adviser Representative, Investment Advisers Act, Registered Investment Advisers (RIAs), Regulation S-P, RIA Compliance, RIA Compliance Policies, Safeguards Rule, SEC Cybersecurity, Uncategorized
Rule 30(a) of Regulation S-P, better known as the Safeguards Rule, requires firms to adopt written policies and procedures to address the administrative, technical, and physical safeguards that are necessary to protect customer records and information. On August 30,... 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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