Category Archives: IT Risk Management

IT Risk ManagementRegulatorsVendor Risk Management

2024 FINRA Annual Regulatory Oversight Report – Cybersecurity

Announced on Jan 10th 2024. The 2024 FINRA Annual Regulatory Oversight Report (the Report) provides member firms with insight into findings from FINRA’s Member Supervision,Market Regulation and Enforcement programs (collectively, “regulatory operations programs”). The Report reflects FINRA’s commitment to providing greater transparency to member firms and the public about our regulatory activities. (All information here […]...

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IT Risk Management
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SEC’s proposed new cybersecurity risk management rules under the Investment Advisers Act of 1940 (the “Advisers Act”)

The Commission is proposing new cybersecurity risk management rules and related amendments to certain rules under the Investment Advisers Act of 1940 (the “Advisers Act”) and the Investment Company Act of 1940 (the “Investment Company Act”). Quoted from the SEC’s website https://www.sec.gov/files/33-11028-fact-sheet.pdf The proposed rules and amendments would enhance cybersecurity preparedness and improve the resilience […]...

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IT Risk Management

Laxmi Ramanath to discuss HOW TO CREATE A SOUND CYBERSECURITY BREACH STRATEGY

Please join the Independent Broker Dealer Consortium on a webinar on on Nov 8th 2 pm ET for a panel discussion on cybersecurity breaches and its impact on businesses with Lilian Morvay Founder and CEO of iBDC Group, Laxmi Ramanath CEO of La Meer Inc., Paul Horn Founder and CEO of H2Cyber, Patrick Cox Expert Witness and Consultant from the Bates Group.  The probability is great that […]...

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