Protecting Investor Data Under the Updated Regulation S-P What changed, what it means, and what we’re doing together Why this matters now The SEC’s amendments to Regulation S-P expand what firms must do to detect, respond to, and recover from any unauthorized access to customer information—and to notify affected individuals promptly. What’s new at a
Recently a few of our clients were recipients of phishing email leveraging scare tactics, also known as the Phantom Extortion Scam. This scam involves cyber criminals sending fake emails or messages to individuals or businesses, claiming that there has been a security breach or incident involving sensitive client or organization data. The cyber criminals then
Yesterday the U.S. Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE) released its 2021 exam priorities. In the letter the SEC highlighted that their focus remains the same from prior years with a slight shift in priorities and adjustment of focus. The SEC stated that they will review whether firms have
In general, you’ve prepared for disasters that range from a file server crashing, to a total loss of power, and maybe even a hurricane making your offices inhabitable. You’ve thought through various scenarios that could affect your business and developed plans and procedures to document those efforts. You’ve worked so diligently to develop Disaster Recovery,
