Web13 Apr 2024 · The regulation covers brokers-dealers, investment companies and registered investment advisers. ... Along with the updates to Regulations S-P and SCI, the SEC proposed a new cybersecurity risk management rule on March 15, 2024 that would apply to “broker-dealers, the Municipal Securities Rulemaking Board, clearing agencies, major … WebThe SEC determined that Cambridge Investment Research, Inc., a registered broker-dealer, and Cambridge Investment Research Advisors, Inc., a registered investment advisor (collectively "Cambridge"), violated the Safeguards Rule by failing to require that independent contractor representatives use MFA or other enhanced security measures for cloud-based …
SEC Proposes New Cybersecurity Disclosure Rules For Investment Advisors …
Web9 Feb 2024 · Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies, Securities Act of 1933 … WebIn the “old days” ( some 10-20 years ago), persons intent on obtaining unauthorized disclosures of the personal identifiable information (“PII”) of clients of broker/dealers and/or investment advisors would use so-called “brute force” attacks, randomly trying to guess a password or combination of passwords in order to gain access. If successful, the intruder … boys trendy dress shoes
Cybersecurity Risk Management for Investment Advisers, …
WebThere are several key deadlines for SEC registered investment advisers in the coming weeks, including form distribution and filings and annual reviews for many. If your firm or fund’s fiscal year ended on 12/31/2024, some dates to … Web15 Feb 2024 · Under proposed Rule 204-6, a registered investment adviser would also be required to promptly report to the SEC “any significant adviser cybersecurity incident or … Web16 Feb 2024 · The proposed rules require advisers and funds, on an annual basis, to: (1) review and assess the design and effectiveness of their cybersecurity policies and procedures; and (2) prepare a report describing the review, explaining the results, documenting any incident that has occurred since the last report, and discussing any … boy streetwear clothes