1 of 11
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.
next