After the SEC and Equifax Hacks, Firms Should Revisit Their Cybersecurity Program

Recently, two major cybersecurity breaches have been in the news which have been very unsettling for many Americans.  First, Equifax, one of the nation’s largest credit bureaus, was hacked exposing 143 million people’s financial data.  Second, the Securities and Exchange Commission’s (“SEC”) EDGAR filing system was hacked and it is believed that the hackers made off with information that was used to make money illegally in the stock market. Read More…

Cybersecurity for Broker-Dealers

As technology continues to advance and broker-dealers become increasingly more dependent on it, the topic of cybersecurity has been pushed to the forefront in the financial industry.  The nature of the industry requires broker-dealers to maintain records of client sensitive information including, but not limited to the following: account numbers, social security numbers, licenses, and Read More…