Call us now:
A nice little earner as the SEC charges 26 broker-dealers, investment advisers, and dually-registered broker-dealers and investment advisers for widespread and longstanding failures by the firms and their personnel to maintain and preserve electronic communications.
It’s an investigation that been going on for some time. With some firms self-reporting their violations going some way to demonstrate that knowing the regulator may come knocking helps focus the mind. Especially if a reduced penalty is a possible outcome.
https://lnkd.in/dFqj-hvS
@Thaddeus Dziekanowski Brian D. McCarthy
Veritas GRC U.S. Securities and Exchange Commission
#cybersecurity #cyberriskmanagement #cyberregulation
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