Ineffective response to security alerts, inadequate access controls, lack of active directory tiering, and penetration testing shortcomings all cited as factors.
Risk Alert
The SEC's latest risk alert is designed to assist broker-dealers prepare for exams and understand why they were selected.
Move aims to help broker-dealers preparing for a shortened standard settlement cycle.
The SEC issued a new Risk Alert for Investment Advisers about its risk-based approach for selecting advisers to examine.
SEC's latest Risk Alert tells investment advisers about added areas of emphasis during Marketing Rule-focused exams.