2024 February Newsletter
ELTENI’S CYBER SCOOP Latest News In this newsletter, we highlight the FINRA regulatory oversight report, law enforcement continuing their crackdown on cyber criminals and the impact of Artificial […]
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Category: SEC
2024 January Newsletter
ELTENI’S CYBER SCOOP Latest News In this newsletter, we uncover an SEC Director’s op-ed on disclosure rules. A major international cybersecurity crackdown by law enforcement. The SEC op-ed […]
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2023 December Newsletter
ELTENI’S CYBER SCOOP Latest News In this newsletter, we uncover additional regulatory rules being approved for Clearing Agencies. Also, the numbers are in, and enforcement actions are […]
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2023 November Newsletter
ELTENI’S CYBER SCOOP Latest News In this newsletter, we uncover a major cybersecurity revelation. The SEC has taken action against SolarWinds Corporation and its CISO, Timothy G. […]
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The SEC proposes new Cybersecurity rules
Earlier today the Securities and Exchange Commission voted to propose rules related to cybersecurity risk management for registered investment advisers, and registered investment companies and business development companies […]
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NYDFS’s first time charging a company for not adhering to their Cybersecurity Regulation Part 500 of Title 23
The New York Department of Financial Services (“NYDFS”) has charged First American Insurance company with multiple section code violations pertaining to cyber security policies. This is NYDFS’s first […]
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The SEC issues fines for deficient cybersecurity programs!
Today the Securities and Exchange Commission (SEC) sanctioned eight firms in three actions for failures in their cybersecurity policies and procedures that resulted in email account takeovers exposing […]
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SEC Charges First American Financial Corporation With Cybersecurity Disclosure Controls Failures
On June 15, 2021 “The Securities and Exchange Commission (“SEC”) announced settled charges against real estate settlement services company First American Financial Corporation for disclosure controls and procedures […]
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2021 SEC OCIE Cybersecurity Exam Priorities
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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CFTC issues an alert about potential Microsoft Azure and Office 365 compromise resulting from SolarWinds breach
On January 13, 2021, the Market Participant Division (MPD) of the CFTC sent an email to registrants informing them about an alert that was issued by the DHS […]
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