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7 Tips to Prevent a Cyber Attack for Advisor Firms and Their Clients

Brief Introduction FINRA recently released a Cybersecurity Alert to warn Advisor Firms and their clients of potential Russian cyberattacks targeting US organizations. Preventing a Cyber Attack is […]

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SEC Proposes First Cyber Rule for RIAs and Funds

Brief Introduction On Wednesday, February 9th, the SEC released their Proposed Rule on Cybersecurity Risk Management and Amendments for Registered Investment Advisers and Funds. Vigilant’s Chief […]

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SEC Chairman Update On Cybersecurity And Securities Laws

    On Monday, January 24th, SEC Chairman, Gary Gensler, released a speech relating to Cybersecurity and Securities Laws. There were multiple areas focused on relating to where improvements can be […]

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SEC Charges 8 Firms for Failures in Their Cybersecurity Policies and Procedures

SEC Release | Cybersecurity On August 30th, 2021, the SEC announced that they have charged eight firms in three actions for failures in their cybersecurity […]

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SEC Issues $1 Million Fine Regarding a Cyber Breach for Mislead Investors

  SEC Releases | Cybersecurity   On August 16th, 2021, the SEC announced that they charged a London-based public company with a $1 Million fine for […]

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