cyberriskmanagement

A nice little earner as the SEC charges 26 broker-dealers, investment advisers, and dually-registered broker-dealers and investment advisers for…

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…