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“For tracking litigation, enforcement, and regulatory developments, Compliance Week
should be your prime source.”- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Enforcement Action May Be Omen of SEC’s Cyber-Security Plans
An investment adviser firm in St. Louis has become the (painful) test subject for the SEC’s attitude on cyber-security matters. The case, observers say, is a warning that the agency is moving away from guidance and toward enforcement. So what will the SEC consider to be “reasonable” security efforts? Will ...
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