Two affiliated broker-dealers settled FINRA charges for lacking reasonable cybersecurity controls at branch offices. The failures resulted in multiple incidents that exposed thousands of customers' personal information.
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A broker-dealer settled charges with FINRA for failing to safeguard customer records and information.
The Senate Banking Committee considered data protection and other concerns raised about the consolidated audit trail system.
IOSCO urged member jurisdictions to continue using internationally recognized "Core Standards" cyber regulation frameworks.
Finance ministers and central bank governors for the G-7 countries published a report on the fundamental elements required for effective assessment of cybersecurity in the financial sector.