Leaders Edge

SEC Issues New Regs For Investment Advisors and Broker-Dealers

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Sep 16, 2015
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Sep 16, 2015

The SEC has issued new Cybersecurity regulations for investment advisors and broker-dealers, which prioritize regular software patches as a top security priority. Other regulations include immediately terminating access to company databases and programs to former employees and seeking due diligence for selecting and monitoring vendors.

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