On July 29, 2022, the New York Department of Financial Services (NYDFS) provided several potential enhancements to the existing Part 500 Cybersecurity Rules. The Draft Amendments can be […]
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FINRA Rule 4370 requires firms of all sizes to be prepared for business disruptions by maintaining a business continuity plan. After conducting a “Pandemic Review” of the rule, […]
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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 […]
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Have you made the decision to allow employees to work from home or are you still contemplating the idea? If work from home is or will be the […]
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The coronavirus has hit a well-known Hedge Fund’s NY based office. An employee at Point72 tested positive last week. Employees were told to work from home while the […]
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