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SEC’s New Cyber Inspection and Examination and the Effects on Broker-Dealers and Law Firms (Part 2 of 2)

In the first post of this series, there was an overview of the SEC’s “OCIE Cyber Security Initiative” and its effect on broker-dealers and registered investment advisers. In this post, there will be a closer analysis of the nine pieces of information that must be provided upon request and their implications for firms. The scopeContinue Reading

SEC’s New Cyber Inspection and Examination and the Effects on Broker-Dealers and Law Firms (Part 1 of 2)

Based on recent announcements made by the SEC, publicly traded companies doing business with the United States need to begin focusing on of cyber security.  On April 15, 2014, the SEC’s Office of Compliance Inspections and Examinations issued an alert entitled “OCIE Cyber Security Initiative” (the Risk Alert).  The Risk Alert is the latest inContinue Reading

The BYOD Dilemma: How Should Law Firms or Companies Manage Stolen or Lost Phones in a BYOD Environment – Part 3

This final posting looks at the impact of what happens when a mobile phone is lost in a BYOD environment and the potential cyber security problems this can present and offers several different solutions law firms and companies can evaluate for addressing this concern. The third risk seems very low-tech, but it is in someContinue Reading