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Searching Content indexed under Securities by Daniel McLoon ordered by Published Date Descending.
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SEC Report Recommends Improvements To Internal Accounting Controls To Combat Cyber Fraud
On October 16, the SEC published an investigative report examining the efficacy of internal accounting controls for nine public companies that lost millions of dollars as a result of cyber-related fraud.
United States
4 Jan 2019
2
SEC Orders Cease-And-Desist Proceedings Against Investment Adviser
On September 26, the Securities and Exchange Commission ("SEC") ordered public administrative and cease-and-desist proceedings against a registered broker-dealer and investment adviser for deficient cybersecurity practices.
United States
4 Jan 2019
3
CFTC And SEC To Coordinate Efforts On Virtual Currency Enforcement Actions
On January 25, Securities and Exchange ("SEC") Chairman Jay Clayton and Commodity Futures Trading Commission ("CFTC") Chairman J. Christopher Giancarlo jointly published an op-ed in The Wall Street Journal.
United States
6 Mar 2018
4
SEC Charges ICO Promoters With Defrauding Investors
On September 29, the SEC brought its first enforcement action in connection with an initial coin offering.
United States
28 Nov 2017
5
SEC Commissioner Discusses Risks Of New Technologies
The SEC's Commission Chairman also took the occasion to discuss the risks of blockchain, and SEC issued guidance on the technology.
United States
27 Nov 2017
6
SEC OCIE Director Discusses Cybersecurity Examinations
On October 17, the director of the SEC's Office of Compliance Inspections and Examinations delivered the keynote address at the National Society of Compliance Professionals 2016 National Conference.
United States
22 Nov 2016
7
SEC Chair Prioritizes Cybersecurity
She outlined the Commission's efforts to address the risks posed by cyber attacks and reaffirmed that Commission staff would continue to focus on cybersecurity and controls in 2016.
United States
14 Sep 2016
8
SEC Brings Enforcement Against Broker-Dealer For Failure To Adopt Policies And To Ensure Security Of Customer Information
The SEC alleged, in part, that the broker-dealer violated securities laws by using email addresses other than those with its domain name to receive faxes containing sensitive customer information.
United States
10 Jun 2016
9
SEC Division Of Investment Management Issues Cybersecurity Guidance
Under the guidance, advising funds and advisers should conduct periodic cybersecurity assessments, create strategies to respond to threats, and account for obligations under federal securities laws.
United States
17 Aug 2015
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