Understanding the SEC's Focus on Governance “There is no such thing as bad publicity,” a notorious circus promoter allegedly once said.[1]  And cybersecurity sure has had its fair share lately.  Hardly a month, week or day goes by without another news flash that some company, government institution or law enforcement agency has [...]

5 Steps for Advisers and Broker-Dealers in the Wake of R.T. Jones The SEC’s Order referenced R.T. Jones’s failure “to adopt any written policies and procedures reasonably designed to safeguard its clients’ PII as required by the Safeguards Rule.”  This isn’t the first time the Commission has invoked Rule 30(a) of Regulation [...]