For Financial Service firms, the message is clear. Both FINRA and the SEC are looking over your shoulder to make sure that you are taking cyber security seriously. And the fines are not small. From hundreds of thousands to millions of dollars, firms big and small are getting whacked with fines. In 2014, the SEC […]
Continue reading → [DISPLAY_ACURAX_ICONS]The SEC and Investment Adviser R.T. Jones (RTJ) came to an agreement last week regarding a breach that RTJ had. R.T. Jones, an investment advisor in St. Louis with about 8,000 clients, has agreements with retirement plan administrators to offer investment advice to participants in those plans via the web. To log in to the […]
Continue reading → [DISPLAY_ACURAX_ICONS]Last week the SEC released what they call a Risk Alert to Investment Advisors and Broker-Dealers saying that they were concerned about the protection of client information because of recent attacks and attempted attacks against the financial community. In the alert, they laid out the very particular concerns they have in 6 specific areas and […]
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