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10 Tips for Making Your Firm Cyber-Prepared
Cybersecurity is on the SEC’s mind. Not only is cyber risk management a rulemaking priority, but information security and operational resiliency is also a 2023 priority for the Division of Examinations. Here are tips from CCOs on becoming cyber-prepared.
April 12, 2023
Tags: Cybersecurity, Red S-ID, Reg S-P
SEC Case Spotlights Safeguarding and Disposal of Personal Information, Vendor Oversight
The SEC charged a large dual registrant with PII safeguarding and disposal deficiencies, in violation of Regulation S-P.
September 23, 2022
Tags: Dual Registrant, Reg S-P, SEC Enforcement