10 04, 2023

Cyber Security – Is the “Blind leading the Blind?”

By |2023-04-10T14:24:05-04:00April 10, 2023|Broker-Dealer, Cybersecurity, Investment Advisor Representative, Supervision|

As consultants, we can’t emphasize enough the importance of having a proactive cyber security program that is specifically tailored to protect disruption of critical systems as well as protection of sensitive data for both the firm and its customers.

14 07, 2021

Cybersecurity Exam Observations and Effective Practices

By |2021-07-14T12:10:53-04:00July 14, 2021|Broker-Dealer, Cybersecurity, Examinations, FINRA, Registered Investment Advisers, SEC|

Cybersecurity remains one of the principal operational risks facing broker-dealers [...]

24 02, 2021

FINRA’s Top Priorities for 2021

By |2021-02-24T09:58:16-05:00February 24, 2021|Broker-Dealer, Communications, Cybersecurity, FINRA, Form CRS, Registered Investment Advisers, Regulation Best Interest, Retail Communications, Rules and Regulations, Variable Annuities|

Early in the year, FINRA released their 2021 Report on [...]

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