The SEC's Office of Compliance and Examinations (OCIE) issued a risk alert on July 10th about its observation of an apparent increase in sophistication of ransomware attacks on SEC registrants, including broker-dealers,...more
The SEC’s Office of Compliance and Examinations (OCIE) issued a risk alert on July 10 about its observation of an apparent increase in sophistication of ransomware attacks on SEC registrants, including broker-dealers,...more
7/17/2020
/ Corporate Counsel ,
Cyber Attacks ,
Cybersecurity Information Sharing Act (CISA) ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Homeland Security Cybersecurity & Infrastructure Security Agency (CISA) ,
Malware ,
OCIE ,
Publicly-Traded Companies ,
Ransomware ,
Risk Alert ,
Risk Management ,
Securities and Exchange Commission (SEC)
The SEC continues to reiterate the role of broker-dealers as “gatekeepers to the securities markets” by focusing on firms’ anti-money laundering (“AML”) obligation. The import that the SEC, as well as FINRA, places on firms’...more
6/1/2018
/ Anti-Money Laundering ,
BSA/AML ,
Customer Due Diligence (CDD) ,
Customer Identification Program (CIP) ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
OCIE ,
Personal Liability ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Suspicious Activity Reports (SARs)