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FINRA disciplinary action update 2024/46
Disciplinary decisions issued November 23 – 29, 2024.
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NSCP 2024: Panel discusses data security strategies and Reg S-P changes
Panelists at the annual gathering made key recommendations as firms prepare to comply with amendments to Regulation S-P.
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SEC releases fiscal year 2025 examination priorities
Emerging risk areas (such as AI), plus cybersecurity, crypto and AML in focus as we dig deep into Examination Priorities document.
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Cyber risk to the C-Suite: Navigating personal liability and regulatory compliance
With SolarWinds as a backdrop, the authors look at negligence in cybersecurity in terms of personal accountability and a firm’s integrity.
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Crossing borders – top tips for navigating UK and US compliance
How to comply with compliance rules on both sides of the Atlantic without being penalised.
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SEC adopts updates to Reg S-P to enhance oversight over consumer data
Amendments to Reg S-P will modernize the rules that govern the treatment of consumers’ nonpublic personal information.
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Ceros Financial fined for lacking supervision over personal email for business use
FINRA ruling notable due to inclusion of Identity Theft Red Flags Rule.
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FINRA disciplinary action update 2024/6
Disciplinary decisions issued February 10 – 16, 2024.