Windows 10 Upgrade Due Diligence for Investment Advisers and Broker Dealers Why are we talking about upgrading workstations and laptops in a blog that, to date, has focused pretty heavily on IT Issues and Regulatory Compliance? It’s not that we’re changing our focus. It’s that you, as a CCO need to [...]

Immutable Security Laws For The CCO - #7 - The Well-Administered Network I recently had the chance to hear David Glockner, Director of the Chicago Regional Office, speak on IT Security and have a few words with him on the subject. The Chicago Office, of course, led the effort on the R.T. [...]

As investment advisers and broker-dealers consider sophisticated and costly monitoring tools as a panacea for IT Security, we still find a regular need for fundamental information practices, which could have a much greater impact on preventing and controlling breach. The good news for businesses, whether you consider the firm to be small [...]