All investment firms articles
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News BriefNew cybersecurity requirements fast approaching for New York financial firms
Many financial firms have mere days to notify New York about whether they have complied with the state’s strict cybersecurity regulations, and to gear up for new requirements rolling out May 1 and beyond.
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Blog
Investment Management Director David Grim to Leave SEC
David Grim, director of the Division of Investment Management at the Securities and Exchange Commission, will leave the agency in September after more than 20 years of public service.
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Article
Getting ready for SEC cyber-security tests
The SEC is testing investment firms for cyber-security readiness. Preparing for it is a marathon, not a sprint.