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IT Risk ManagementRegulationsVendor Risk Management
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SEC Proposes Cybersecurity Management Rules for Investment Advisers and Funds

Complete Source of information : https://www.klgates.com/SEC-Proposes-Cybersecurity-Risk-Management-Rules-for-Investment-Advisers-and-Funds-3-9-2022. All Language quoted and attributed to the article On 9 February 2022, the U.S. Securities and Exchange Commission (the SEC) proposed new rules and amendments to existing rules (together, the Proposed Rules) addressing cybersecurity risk management under the Investment Advisers Act of 1940, as amended (the Advisers Act) and the […]...
Regulations
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SEC Proposed Cybersecurity Rules First Quarter 2022

https://www.sec.gov/rules/proposed.shtml (Quoted from this link) Key Rules in discussion by SEC First Quarter 33-11038 Mar. 9, 2022 Cybersecurity Risk Management, Strategy, Governance, and Incident DisclosureFile No: S7-09-22Comments Due: 30 days after publication in the Federal Register or May 9 (which is 60 days after issuance), whichever is laterSubmit comments on S7-09-22See Also: Press Release No. 2022-39; Fact Sheet The Securities and Exchange […]...
Anti Money LaunderingCompliance ManagementIT Risk ManagementRegulatory FinesTrade Monitoring
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Annual Eversheds Sutherland Analysis of FINRA Disciplinary Actions Shows Huge Surge in Financial Sanctions

All information Quoted from the article https://us.eversheds-sutherland.com/NewsCommentary/Press-Releases/249220/Annual-Eversheds-Sutherland-Analysis-of-FINRA-Disciplinary-Actions-Shows-Huge-Surge-in-Financial-Sanctions?utm_source=vuture&utm_medium=email&utm_campaign=vuture-emails March 8, 2022 Eversheds Sutherland has completed its annual study of the disciplinary actions reported by the Financial Industry Regulatory Authority (FINRA) in 2021. By reviewing FINRA’s monthly disciplinary reports, press releases and online database, Eversheds Sutherland (US) Partners Brian L. Rubin and Adam C. Pollet found that in 2021 the amount of fines […]...