- Regulation
- Technology
- Resources
Latest News
- Industry
-
M Holdings to pay $325K for cybersecurity lapses that compromised email accounts
The SEC said the firm did not maintain comprehensive information security policies despite being aware of significant gaps in protection.
-
SEC details 2026 compliance and oversight priorities
The 2026 priorities carry forward many of the themes from 2025, but the tone has shifted from early groundwork to more stringent expectations.
-
FINRA disciplinary action update 2024/46
Disciplinary decisions issued November 23 – 29, 2024.
-
NSCP 2024: Panel discusses data security strategies and Reg S-P changes
Panelists at the annual gathering made key recommendations as firms prepare to comply with amendments to Regulation S-P.
-
SEC releases fiscal year 2025 examination priorities
Emerging risk areas (such as AI), plus cybersecurity, crypto and AML in focus as we dig deep into Examination Priorities document.
-
Cyber risk to the C-Suite: Navigating personal liability and regulatory compliance
With SolarWinds as a backdrop, the authors look at negligence in cybersecurity in terms of personal accountability and a firm’s integrity.
-
Crossing borders – top tips for navigating UK and US compliance
How to comply with compliance rules on both sides of the Atlantic without being penalised.
-
SEC adopts updates to Reg S-P to enhance oversight over consumer data
Amendments to Reg S-P will modernize the rules that govern the treatment of consumers’ nonpublic personal information.