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Searching Content indexed under Technology by Peter Wilson ordered by Published Date Descending.
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OCIE Risk Alert – Safeguarding Customer Records And Information In Network Storage
On May 23, 2019, the OCIE published a Risk Alert regarding security risks associated with the storage of electronic customer records and information by broker-dealers and investment advisers in various network storage solutions ...
United States
20 Jun 2019
2
Through The Regulator's Eyes
Just like compliance officers, regulators work within a range of forces, priorities, and constraints. Understanding those factors is essential for managing regulatory relationships.
United States
14 Jun 2019
3
FINRA 2018 Report On Selected Cybersecurity Practices
On December 20, 2018 FINRA published its Report on Selected Cybersecurity Practices – 2018, detailing FINRA's observations regarding effective information-security practices implemented at securities
United States
22 Jan 2019
4
Duff & Phelps Publishes Its Annual Global Regulatory Outlook
The more things change, the more they stay the same. With Brexit and Trump dominating global headlines last year, much of the resulting uncertainty persists in our Global Regulatory Outlook 2018 survey.
United States
30 May 2018
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