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Regulatory

Have you considered the work from home risks?

Have you made the decision to allow employees to work from home or are you still contemplating the idea? If work from home is or will be the preferred method for the unforeseeable future, there are some things you should do to maintain your compliance and security posture. Here are some risks you should be

The SEC’s OCIE Releases Their Observations From Examinations

On January 27, 2020 the Securities and Exchange Commission Commission's Office of Compliance Inspections and Examinations issued examination observations related to cybersecurity and operational resiliency practices undertaken by market participants. We reviewed this alert and simplified it into major points that are easily digestible. The OCIE provided the following observations: Governance and Risk Management Senior leadership is

2020-12-31T18:43:45-05:00January 30th, 2020|Cyber, Regulatory, SEC|

CFTC issues alerts and expects responses!

In December 2019, the U.S. government issued indictments against two hackers who were allegedly involved in a multiyear effort to penetrate the systems of several IT Vendors and Managed Services Providers (MSPs). The attack known today as the “Cloud Hopper Mega Hack” was first noticed in 2016, as indicated by the Wall Street Journal. Preview

2020-12-31T18:43:52-05:00January 9th, 2020|CFTC, Cyber, OCIE, Regulatory, SEC|
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