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Searching Content indexed under Media, Telecoms, IT, Entertainment by Joshua Horn ordered by Published Date Descending.
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Is This The First Shot In The SEC's War Against Social Media?
The SEC has repeatedly included issues around social media in its annual exam priorities for investment advisers. With the release of a final rule on the subject, the SEC has taken that "exam priority" to the next level.
United States
7 Sep 2016
2
Don't Forget This Data Security Risk
In a recent SEC enforcement action, a registered representative was suspended for 6 months and fined $75,000 for, among other things, forwarding confidential client information from his personal email...
United States
3 Mar 2016
3
Why System Passwords Are Not As Easy As 123
As we all know, cybersecurity remains a top priority for the SEC and FINRA. Unfortunately, a recent Investment News article would suggest that firms do not take it as seriously, or, at least, firm employees do not.
United States
2 Feb 2016
4
Cybersecurity Focus For The New Year
As the New Year dawns, financial firms should only expect greater and more sophisticated attacks. After all, not only do you house personal identifying information, you also have access to client funds.
United States
30 Dec 2015
5
Cybersecurity And Regulatory Enforcement; What Are You Doing
No one likes being a victim, let alone being a victim twice. But that is what you may face if you have a data breach.
United States
11 Nov 2015
6
Oh No, Not More Social Media On Social Media
The recent Putnam Social Advisor Study reported on in the Investment News should tell you all you need to know; 79% of advisors responding to the study gained new clients from social media.
United States
14 Oct 2015
7
What You Need To Know About The SEC Cybersecurity Exam Priority
In a recent risk alert, the SEC announced that it was instituting a second exam priority focused on cybersecurity at broker-dealers and registered investment advisors.
United States
21 Sep 2015
8
How Can A Phone Call Save Your Career
A 17-year veteran advisor recently agreed to a lifetime ban for falsifying the signatures of a client on 10 documents transferring money out of the client's accounts over a period of two months.
United States
23 Jul 2015
9
Who Wants To Know Some Pre And Post Data Breach Considerations
In a recent blog by Chris Pogue (a digital forensic expert), he highlighted a handful of considerations for firms both pre and post data breach.
United States
22 Jul 2015
10
Who Wants More Cyber-Security Guidance
In a recent article written by Bill Winterberg in the Journal of Financial Planning he highlighted a number of pitfalls that advisors commonly fall into that expose sensitive client data and information to hackers and phishers.
United States
14 Jul 2015
11
Do You Really Need A Reason Why Not To Provide Your Client With A Personal Email Address
Not too long ago, I tried a case that had, among other issues, the improper use of the advisor's personal email account.
United States
9 Jul 2015
12
You Just Suffered A Cyberattack, Now What
A recent Investment News article highlighted the pervasive problem associated with cyberattacks and offered some guidance in the event of an attack.
United States
10 Jun 2015
13
What Does The "E" In Email Mean Redux
I recently blogged about the meaning of the "E" in email. For a further discussion of the dangers associated with email, you can listen to this podcast.
United States
15 May 2015
14
So What Does The SEC Think About Cybersecurity
At the end of last month, the SEC provided a guidance update on cybersecurity for registered investment companies and registered investment advisors.
United States
5 May 2015
15
So Who Wants To Give A Vendor Access To Your IT Systems
At one time or another, member firms will likely need the services of an outside vendor.
United States
14 Apr 2015
16
Look Before You Tweet
FINRA recently sanction a registered representative for tweets made some time ago.
United States
3 Nov 2014
17
Personal Email For Firm Business – Don’t Do That
Member firms must do more to make sure that their brokers do not run afoul of the firm communication written supervisory procedures.
United States
27 Oct 2014
18
What You Need To Know About Disclosures Through Social Media
In recognition of the pervasive use of social media, the SEC recently issued guidance that public companies could disseminate material information through social media without violating Regulation FD.; The question remains what is the best way to use social media in this fashion.
United States
13 Apr 2013
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