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…

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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,…

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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 Cybersecurity Risk Management, Strategy, Governance, and Incident DisclosureCybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies First Quarter33-11038Mar. 9, 2022Cybersecurity Risk Management, Strategy, Governance, and…

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2022 Report on FINRA’s Examination and Risk Monitoring Program

FINRA issued this risk alert on Feb 9th 2022. All information here is Quoted from the FINRA's document. Please refer to FINRA's document in the below link for complete information https://www.finra.org/rules-guidance/guidance/reports/2022-finras-examination-and-risk-monitoring-program The 2022 Report on FINRA’s Examination and Risk Monitoring…

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