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9 cybersecurity steps the SEC wants to see – Financial Planning

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The SEC’s cybersecurity punch list

The SEC alleges Louis Blazer stole more than $2 million dollars from athletes and other high-net-worth clients.

Bloomberg News

The SEC has made no secret it expects advisors and brokers to ramp up their policies and procedures to guard against cyberattacks. Now, after a second wave of examinations focusing on firms’ defenses, the commission’s Office of Compliance Inspections and Examinations has produced a risk alert detailing the do’s and don’ts for firms.


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