Lessons From SEC’s First Cybersecurity Enforcement Action
This week, the SEC fined investment advisory firm R.T. Jones Capital Equities Management for failing to establish required cyber-security policies and procedures, which later led to a breach that compromised the personal data of roughly 100,000 customers. It is the first enforcement action the SEC has brought against a regulated ...
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WebcastOct 14 | CPE Webcast: Navigating Evolving Banking Regulations in the U.S. and Canada
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ArticleFormer startup CEO gets 7 years in prison for $175M fraud against JPMorgan Chase
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