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Searching Content indexed under Securities by Natasha Kohne ordered by Published Date Descending.
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SEC OCIE Issues Guidance On Advisors' And Broker-Dealers' Cloud-Based And Other Network Storage Of Customer Data
On May 23, 2019, the Securities and Exchange Commission's (SEC) Office of Compliance Inspections and Examinations (OCIE)
United States
11 Jun 2019
2
SEC Warns Companies Of Potential Internal Accounting Control Violations With Business Email Compromise
Following the SEC's announcement of its first Identity Theft Red Flags Rule enforcement action stemming from a cybersecurity breach,
United States
22 Oct 2018
3
Revised SEC Guidance Concerning Disclosure Of Cybersecurity Risks And Cyber Incidents
Disclosures must inform investors about material cybersecurity risks and incidents, including addressing material cybersecurity risks for cyber-attacks that have not yet occurred.
United States
1 Mar 2018
4
Morgan Stanley Fined $1 Million By SEC For Cybersecurity Violations
On June 8, 2016, the SEC ordered broker-dealer and investment advisor Morgan Stanley Smith Barney LLC (MSSB) to pay a $1 million civil money penalty and to cease and desist from violating the SEC's Safeguards Rule...
United States
21 Jun 2016
5
SEC Brings Enforcement Action Against A Broker-Dealer For Weak Cybersecurity Controls
Although there was no allegation that any client suffered financial harm, the broker-dealer settled for $100,000, while the principals settled for $25,000 each.
United States
26 Apr 2016
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