Category Archives: IT Risk Management

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 […]...

Published On - March 10, 2022

admin IT Risk Management, Regulations, Vendor Risk Management
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 […]...

Published On - March 8, 2022

admin Anti Money Laundering, Compliance Management, IT Risk Management, Regulatory Fines, Trade Monitoring
Anti Money LaunderingBranch and Rep ManagementCompliance ManagementIT Risk ManagementNewsReg BITrade MonitoringVendor Risk Management
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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 Program (the Report) provides firms with information that may help inform their compliance programs. For […]...

Published On - February 10, 2022

admin Anti Money Laundering, Branch and Rep Management, Compliance Management, IT Risk Management, News, Reg BI, Trade Monitoring, Vendor Risk Management