IT GRC Forum

FacebookJoin our Linkedin Group!Follow us on Twitter!Subscribe to our Feeds!
E-mail

SEC fines Nyse and affiliates $4.5 million multiple violations

May 1, 2014 - The Securities and Exchange Commission today announced an enforcement action against the New York Stock Exchange and two affiliated exchanges for their failure to comply with the responsibilities of self-regulatory organizations (SROs) to conduct their business operations in accordance with Commission-approved exchange rules and the federal securities laws.

Read more...
 
E-mail

GAO criticizes SEC CyberSecurity

April 22, 2014 - The Securities and Exchange Commission has been criticised by a US congressional watchdog over cybersecurity weaknesses, including the failure to authenticate users and encrypt sensitive data.

Read more...
 
E-mail

SEC to conduct market-wide cyber-security checks

April 16, 2014 - The Securities and Exchange Commission is to conduct checks on more than 50 registered broker-dealers and investment advisors to assess their ability to counteract cyber-security threats.

Read more...
 
E-mail

Sifma calls for US rulemakers to step up deployment of Legal Entity Identifiers

April 14, 2014 - US securities trade body Sifma has called for broader uptake of Legal Entity Identifiers by the country's regulators, amid fears that the US is being left behind as other nations push ahead with mandatory implementation of the uniform trade reporting standard.

Read more...
 
E-mail

Regulators warn US banks to take action over Heartbleed exploit

April 11, 2014 - US regulators have warned the nation's banks to undertake a complete overhaul of their security infrastructure to counteract the threat from the Heartbleed bug.

Read more...
 
E-mail

Survey Finds Industry Lagging Behind Market Regulation Deadlines as SEF Trading Begins to Take Off

April 9, 2014 - Survey Finds Industry Lagging Behind Market Regulation Deadlines as SEF Trading Begins to Take Off.

Read more...
 
Page 6 of 36

Subscribe via Email

 Your Email:
Banner