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Risk Alert
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Capita fined for cybersecurity failings that led to data breach
Ineffective response to security alerts, inadequate access controls, lack of active directory tiering, and penetration testing shortcomings all cited as factors.
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SEC risk alert for BDs explains how it scopes risk areas for review
The SEC’s latest risk alert is designed to assist broker-dealers prepare for exams and understand why they were selected.
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SEC issues risk alert on T+1 transaction settlement cycle
Move aims to help broker-dealers preparing for a shortened standard settlement cycle.
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Risk Alert about examination selection process comes from SEC
The SEC issued a new Risk Alert for Investment Advisers about its risk-based approach for selecting advisers to examine.
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SEC Risk Alert highlights new areas of focus in Marketing Rule exams
SEC’s latest Risk Alert tells investment advisers about added areas of emphasis during Marketing Rule-focused exams.