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.
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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.
2026-04-02T19:12:00Z By Neil Hodge
The European Union’s key data privacy regulators have said that they support streamlining compliance and reporting requirements under plans to beef up cybersecurity across the 27-nation bloc.
2026-03-26T18:01:00Z By Jaclyn Jaeger
The former U.S. chief compliance officer of London-based hedge fund Capula Investment Management, who alleged he was fired for escalating “significant regulatory compliance issues” to senior management, refiled his lawsuit in state court after his original complaint was dismissed in federal court on jurisdictional grounds.
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