Three Simple Principles of Governance in Financial Services The word governance comes from the Greek word kubernan, which means “to steer a ship.” This definition applies to what governance is: a methodology of successfully steering a company through waters that are oftentimes rough. Successful seafaring relies on 3 simple principles: Any activity that is [...]
What to Expect from the SEC as Cybersecurity Hits the Docket The New York Times reported on Sunday that the Securities and Exchange Commission has enforcement with cybersecurity implications on the schedule. The authors speculated about something that we have all known for years, the SEC is going for high-profile or impact [...]
Due Diligence For Your Vendors And Your Firm Bolstering fortifications around vendors is a critical area of any firm's cybersecurity program. At the same time, investment advisers, investment companies, and broker-dealers, as vendors themselves, are subject to increasing scrutiny by their institutional investors. Both the SEC and FINRA have recognized the importance [...]