By John Reed Stark2017-01-31T14:00:00
As the SEC and FINRA are taking cyber-security much more seriously, John Reed Stark outlines a few ways in which financial firms can also do more to protect their data.
2024-08-21T21:03:00Z By Adrianne Appel
Equiniti Trust Company has agreed to pay $850,000 to the Securities and Exchange Commission to settle allegations that its failed security measures allowed millions in client funds to be stolen in two cyber incidents.
2025-10-31T17:50:00Z By Adrianne Appel
The U.S. government shutdown has brought most operations at the Securities and Exchange Commission (SEC) to a screeching halt, but that doesn’t mean compliance teams should be taking a breather, experts advised.
2025-10-30T19:39:00Z By Neil Hodge
Companies could face significant compliance challenges in trying to meet new EU legal requirements about how companies share data with third parties.
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