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Cyber & Data Protection Updates
The SEC's cyber security rules are coming in April
By now everyone should understand the SEC is proposing rule 206(4)-9 under the Advisers Act and 38a-2 under the Investment…
February 23, 2023
FINRA highlights cyber security as one of the top risks facing the financial industry
FINRA recently released their “2023 Risk Profile” report, highlighting cyber security as one of the major threats confronting the financial…
January 17, 2023
Upcoming cyber regulations - what can you do to prepare?
On 4 January 2023, the current administration released its Fall 2022 regulatory agenda. In this document they outlined the upcoming…
January 13, 2023
Cyber Risk in the Middle East – How secure is your firm and its ecosystem?
Cyber-attacks are the unauthorised exploitation of systems, networks and technologies and they have been a high-risk item on companies' agendas…
November 15, 2022
Cybersecurity Awareness Month – a focus for asset managers
Cybersecurity Awareness Month occurs each October and is a collaboration between government and private industry, designed to promote the importance…
October 26, 2022
eComms compliance – the SEC continues its scrutiny and issues substantial fines
In September 2021, the SEC began its focus on how banks were monitoring, archiving and safeguarding business-related eComms being undertaken…
October 13, 2022
What role should NEDs play in cybersecurity?
Waystone Compliance Solutions’ Chief Information Security Officer, Conor Flynn, was recently featured in an Assured article where he provided insight…
October 13, 2022
Building your cyber security foundation
At Waystone Cyber Security Solutions we believe that as you grow your firm it should be built on a strong…
September 28, 2022
SEC Fines Firm $35 Million for Failure to Protect Client Data
On September 20, 2022, the U.S. Securities and Exchange Commission (“SEC”) fined Morgan Stanley Smith Barney for their purported failure…
September 22, 2022
Securing sensitive employee data – recommended HR policies and procedures
The onboarding and offboarding of employees is not a subject that we often think about in terms of information security.…
September 22, 2022
Cyber Security Solutions for the US Investment Advisers
SEC Focus on Cyber Security and Operational Resilience. The US Securities and Exchange Commission (“SEC”) has increased its focus on…
August 15, 2022
SEC proposes cyber security risk management rules and amendments for registered investment advisers and funds
On February 9th, the SEC voted to propose rules related to cybersecurity risk management for registered investment advisers, and registered…
February 10, 2022