Insights
Three Key Updates on SEC Cybersecurity Regulations
The SEC issued three important updates regarding cybersecurity rule proposals. These updates represent a shift that normalizes standards and increases governance expectations.
- Cybersecurity
Tip for Updating Your Compliance Program: Marketing Rule Compliance
The SEC has stated that future examinations will include a focus on compliance with the new Marketing Rule. We share our guidance for preparing and updating your firm's compliance program.
- Compliance
CISO Checklist for First 100 Days of Cybersecurity Program Management
This checklist provides key steps for a new Chief Information Security Officer (CISO) to take to set a cybersecurity program up for success.
- Cybersecurity
- Cybersecurity Resources
Potential for Phishing Campaigns After Multiple Bank Collapses
The recent bank failures creates a unique social engineering opportunity for bad actors as clients of these banks are eager for information and updates, and more likely to fall victim to phishing attacks and email compromise.
- Cybersecurity
Silicon Valley Bank, Signature Bank, and Silvergate Bank: Responding to Market Disruption with a Stronger Compliance Program
Six key areas your firm should focus on now: the decisions that compliance professionals make this week after recent bank collapses will have important implications for their firms, the clients that they serve, and the capital markets generally.
- Compliance
The SEC Proposes Big Changes to the Custody Rule
Responding to changes in "technology, advisory services, and custodial practices," the SEC’s proposal expands the current rule’s coverage to all client assets where the adviser has custody.
- Compliance
- SEC
ESG Issue Brief: Gender Equality
Achieving gender equality would benefit the economy, prevent violence against women and girls, and stimulate social progress. Unfortunately, inequality is a global plague.
- ESG
SEC Amends Rule 15c6-1 to Reduce Settlement Time
The SEC recently adopted an amendment to reduce the time to settle a security purchase or sale from T+2 to T+1 and added Rule 15c6-2.
- Compliance
- SEC
Tip for Updating Your Compliance Program: MNPI Compliance Issues
In the third article in our series of tips for understanding the SEC's 2023 focus areas, we discuss our recommendations for MNPI and Code of Ethics compliance.
- Compliance
- SEC
LastPass Provides Action Items in Response to Breach
The update serves to assure customers and business administrators of what LastPass will do differently in the future to avoid similar incidents.
- Cybersecurity