An Emerging Patchwork Of Cybersecurity Rules
Posted on Aug 29, 2017 in Cybersecurity | Comments Off on An Emerging Patchwork Of Cybersecurity Rules
With the recent adoption of cybersecurity regulations governing broker-dealers and investment advisers registered in Colorado and Vermont, the landscape of cybersecurity regulation continues to evolve in significant ways. For those businesses not yet covered by cyber regulations, these latest moves indicate that the day of reckoning may be coming, with both federal and state regulators...
Cybersecurity for Securities Firms: Batten Down the Hatches and Get Your Shark Cage Ready Because “Only the Paranoid Survive.”
Posted on Jul 7, 2015 in Uncategorized | Comments Off on Cybersecurity for Securities Firms: Batten Down the Hatches and Get Your Shark Cage Ready Because “Only the Paranoid Survive.”
Just when you thought it was safe to go back in the water and have a quiet summer, U.S. Securities and Exchange Commission Commissioner Luis Aguilar hoisted the warning flags. At the end of June, he gave a wide-ranging speech addressing a number of cyber-related problems facing the securities industry. In their article for Law360, “Cybersecurity for Brokers: ‘Only the...
Sutherland Conducts Extensive Cybersecurity Survey of Broker-dealers
Posted on Jun 18, 2015 in Financial Services | Comments Off on Sutherland Conducts Extensive Cybersecurity Survey of Broker-dealers
Sutherland attorneys Brian Rubin and Charlie Kruly, along with the Financial Services Institute (FSI), the trade association for independent contractor broker-dealers, recently conducted a survey of the cybersecurity practices of FSI members. The survey covered many aspects of cybersecurity governance, including vendor management, technical safeguards, and cybersecurity policies and...
FBI Makes Broker-dealers an Offer They Can’t Refuse: Talk to Us About Cybersecurity
Posted on Jun 3, 2015 in Uncategorized | Comments Off on FBI Makes Broker-dealers an Offer They Can’t Refuse: Talk to Us About Cybersecurity
Speaking last week at FINRA’s annual conference in Washington, D.C., Donald Good, Assistant Director of the FBI’s Cyber Division, discussed steps the FBI is taking to help members of the securities industry deal with cyber-threats, as well as steps the FBI hopes firms will take in response. For example, as the Department of Justice recently suggested, Good urged members of...
Hackers Gonna Hack—FINRA’s Report on Cybersecurity Practices Assists Firms in Responding to Threats
Posted on Feb 5, 2015 in Financial Services | Comments Off on Hackers Gonna Hack—FINRA’s Report on Cybersecurity Practices Assists Firms in Responding to Threats
On February 3, 2015 the Financial Industry Regulatory Authority (FINRA) released its long-awaited Report on Cybersecurity Practices, a broad overview of the state of play in the cybersecurity arena for broker-dealers. (Although FINRA has examined only broker-dealers, its Report is helpful for the entire securities industry.) The Report is the culmination of FINRA’s 2014 targeted...
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