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Managing vendors supporting critical or important functions – from zero to full compliance with DORA
A summary of key practical steps based on the draft technical standard.
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FINRA disciplinary action update 2024/15
Disciplinary decisions issued April 13 – 19, 2024.
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FINRA disciplinary action update 2024/14
Disciplinary decisions issued April 6 – 12, 2024.
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CSRB says Microsoft security culture ‘inadequate’ after US government systems breached
Cyber Safety Review Board’s scathing report on intrusion of Microsoft systems by threat actor linked with China.
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FINRA disciplinary action update 2024/13
Disciplinary decisions issued March 30 – April 5, 2024.
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Firm IRD submissions scrutinized by FCA
Market Watch 78 shares the regulator’s observations on the quality of instrument reference data (IRD).
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FINRA disciplinary action update 2024/12
Disciplinary decisions issued March 23 – 29, 2024.
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FINRA disciplinary action update 2024/11
Disciplinary decisions issued March 16 – 22, 2024.