By Alan Wolper on Posted in Confidential customer information,Cybersecurity,FINRAAll of you who use Equifax to conduct a part of your CIP responsibilities, raise your hands. Ok, now, only to those of you whose hands are in the air: how many of you have checked your firm’s incident response plan to determine the steps that need to be taken in the event of a… Continue Reading
By Fran Goins on Posted in Cybersecurity,FINRA,Investment Management firmReaders of this blog know that sales practice issues represent my sweet-spot. Today, in what is probably a welcome departure from my rants, my partner (and co-chair of Ulmer’s Financial Services & Securities Litigation Group) Fran Goins, who knows all things about data privacy and cybersecurity, offers some helpful advice on dealing with the WannaCry… Continue Reading
