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SEC Sanctions Broker-Dealers, Investment Advisory Firms for Deficient Cybersecurity Procedures

By Spencer Fane Team on September 1, 2021
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The Securities and Exchange Commission sanctioned eight registered broker-dealer and investment advisory firms this week for failures in their cybersecurity policies and procedures. Those failures resulted in email account takeovers, which exposed the personal information of thousands of customers and clients at each firm. Those firms paid penalties ranging from $200,000 to $300,000. The SEC…

The post SEC Sanctions Broker-Dealers, Investment Advisory Firms for Deficient Cybersecurity Procedures appeared first on Spencer Fane LLP.

  • Posted in:
    Privacy & Data Security
  • Blog:
    Privacy and Cybersecurity Solutions
  • Organization:
    Spencer Fane LLP
  • Article: View Original Source

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