US financial services regulators are continuing to enhance cyber reporting requirements in response to increasing geopolitical tensions, emerging technologies, the proliferation of cyber-attacks, and larger market events....more
4/28/2023
/ Broker-Dealer ,
CFTC ,
Cyber Attacks ,
Cyber Threats ,
Cybersecurity ,
Financial Regulatory Agencies ,
Financial Services Industry ,
Personal Data ,
Publicly-Traded Companies ,
Regulation S-P ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Sensitive Personal Information
In this Bottom Line videocast, Issa Hanna and Pooja Kohli discuss what to expect in 2020 on standard of conduct developments for broker-dealers and investment advisers, including:
Anticipated developments relating to the...more
2/20/2020
/ Asset Management ,
Broker-Dealer ,
Duty of Care ,
Fiduciary Duty ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Management ,
Regulation Best Interest ,
Securities and Exchange Commission (SEC) ,
Securities Regulation