The SEC final cyber ruling may have broad consequences for registrants. The SECs decision to focus specifically on cybersecurity as a material reportable risk increases the disclosure requirements of companies such as Toyota from the 5th of September, and the…
It is a pleasure to be addressing the members of the The Institute of Internal Auditors Inc. on the 31st August with my colleague U.S attorney Rachel V. Rose, JD, MBA, and Michael Downing discussing the Securities and Exchange Commissions…
Great to see you discussing the SEC Final Ruling Brian Walker as the debate around the ruling grows, and the role of corporate governance, the 3 line of defense and requirements for management oversight, assurance and attestation develop. Ted Dziekanowski…
The SEC submitted an amicus curiae brief to address an important legal issue related to Section 16(b) of the Securities Exchange Act of 1934, 15 U.S.C. § 78p(b). Supporting beneficial owners of an issuers securities bring a claim involving short-swing…
It has been a privilege working with U.S Attorney Rachel V. Rose, JD, MBA and Ted Dziekanowski, on the enclosed article published by Bloomberg Law. In which we evaluate the Securities and Exchange Commissions final ruling for cybersecurity (Effective 5th…
It is a pleasure to be quoted in the Wall Street Journal (WSJ) this week. Discussing recent cybersecurity industry layoffs, and the opportunities that cybersecurity risk management regulation such as the SEC final ruling, will bring to the cyber industry…
NIST is moving forward with its assessment of public comments for NIST SP 800-171 and revision to R3. A document that is influential for covered defense contractor compliance to DFARS 252.204-7012. It also provides one foundation for what could be…
The SEC whistleblower program is a well tried and tested program. It has dealt out over $1Billion to whistleblowers, paying between 10% and 30% of the money collected. That is an indication of the total fines levied against those companies…
The SEC and CFTC have issued further penalties to Financial Institutions for the failure to secure unapproved communications methods and keep appropriate records and supervision. That are fundamental to trades and transactions and it seems continues to be a problem…
The listing will be in time to consider how the company meets the compliance obligations set out in the Securities and Exchange Commissions ruling on cybersecurity risk management. Following the 2021 hack, the company will be prepared to manage the…
