A significant expansion of rules relating to cybersecurity risks - particularly for the financial sector - is under consideration by the Securities and Exchange Commission (SEC).
In public remarks last week, SEC Chair...more
2/1/2022
/ Alternative Trading System (ATS) ,
Broker-Dealer ,
Covered Entities ,
Cybersecurity ,
Cybersecurity Information Sharing Act (CISA) ,
Disclosure Requirements ,
Financial Services Industry ,
Investment Adviser ,
Investment Companies ,
MSRB ,
Proposed Rules ,
Publicly-Traded Companies ,
Regulation S-P ,
Regulation SCI ,
Securities and Exchange Commission (SEC)
The New York Department of Financial Services (NYDFS) has announced its second regulatory enforcement action against a regulated entity (a New York licensed mortgage banker and loan servicer) for violating NYDFS’s...more
3/31/2021
/ Consent Order ,
Cybersecurity ,
Data Breach ,
Enforcement Actions ,
Financial Services Industry ,
Mortgage Lenders ,
Mortgage Servicers ,
Multi-Factor Authentication ,
NYDFS ,
Popular ,
Regulatory Violations ,
Reporting Requirements