Top Cybersecurity Threats for BDs
Some of the biggest risks may come from inside your firm, Daniel Sibears of FINRA said.
Top Cybersecurity Threats for BDs, Advisors
At SEC’s cybersecurity roundtable, officials discussed the biggest risks to BDs and advisors and urged the SEC not to prescribe “rigid” rules.
Advisor Conflicts of Interest: Finding and Mitigating Them
Keep it simple when it comes to conflicts: assess no less frequently than annually, avoid or mitigate to the extent possible, and disclose thoroughly to clients.
Internal Changes at SEC’s Exam Division
As uncertainty remains in the debate over whether an SRO should oversee advisors—and a new option of using outside auditors for advisor exams in lieu of an SRO was recently thrown into the mix—changes are afoot within the SEC’s exam division.
Lori Richards Leaving SEC
Head of OCIE's departure may signal changes for the exam division.