SEC Compliance

Are you violating The SEC’s Recently Proposed Anti-Fraud Rule?

Disruptions to your business come in a range of shapes and sizes. Whether it’s an unprecedented onsite emergency or an unusually delayed response from a key vendor or business contact, both can throw off your business’ continuity. Without thorough and effective business continuity planning, a disruption of any size can affect your business’ productivity, bottom …

Are you violating The SEC’s Recently Proposed Anti-Fraud Rule? Read More »

Top Techniques to Secure Firm-Wide Buy-In for Cyber Security & Compliance

David Edwards, President, Heron Wealth started the discussion by sharing his journey. David started his career in systems at Morgan Stanley, so he knew how to use and manage IT well. Two years ago, he realized that he could no longer manage the IT and compliance issues for his firm by himself, so he engaged …

Top Techniques to Secure Firm-Wide Buy-In for Cyber Security & Compliance Read More »

Written Information Security Plan (WISP) Service & Audits

Why you need to consider a WISP   The Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) has listed cybersecurity as a key focus area in its 2015 risk-based assessments. The addition of cybersecurity as a 2015 OCIE priority comes on the heels of the April 2014 release of sample cybersecurity …

Written Information Security Plan (WISP) Service & Audits Read More »

What’s SEC OCIE Really Worried About?

As a member of the financial industry, you never stop worrying — even just a little — about the SEC Office of Compliance Inspections and Examinations (OCIE). Their cybersecurity exam sweeps are detailed, intensive, and constantly updating to keep up with changes in the industry.