The market of all markets? U.S capital markets seem to be those of choice for those looking for cash? ‘to put it bluntly, the 10 most valuable US equities are larger than the market capitalisations of Japan, UK, France, Canada…
A left of field post but one of interest on a Sunday, as the SEC charges a U.S investor advisory firm for its breach of fiduciary duty to its investors. Albeit a small fine, but an increasingly important message, when…
Yesterday the SEC released several cybersecurity risk management proposals focused on 1. Updates to regulation S-P. Requiring brokers, dealers, investment companies and registered investment advisers adopt written policies and procedures with administrative, technical, and physical safeguards to protect customer records…
The SEC announces cyber related actions against eight firms for failures in their cybersecurity policies and procedures. That resulted in email account takeovers, exposing the personal information of customers and clients between 2017 and 2021. In my view what is…
We often talk about the need to manage cyber risk and mitigate the risks of a cyber attack and its impact. But there is an adjunct to this, legal risk. As the energy sector grows our reliance on digitally distributed…
The SECs role is one of the oversight of covered institutions on US Stock markets. Protecting investors; maintain fair, orderly, and efficient markets; and facilitate capital formation. If the agency adopts requirements for covered entities to manage, and disclose material…
The enclosed letter is an interesting read. In May 2020 the Cybersecurity Solarium Commission wrote to the SEC asking that they consider the material impact of cyber security and including oversight of control reporting in Sarbanes Oxley, under section 404.…
