- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
This week, the SEC fined investment advisory firm R.T. Jones Capital Equities Management for failing to establish required cyber-security policies and procedures, which later led to a breach that compromised the personal data of roughly 100,000 customers. It is the first enforcement action the SEC has brought against a regulated ...
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Image: As cyber-security and IT controls rise up the priority list in corporate audits, a new wrinkle is emerging: numerous frameworks (COSO, NIST, CoBIT) used by numerous parties, all trying to build effective control systems. That could lead to painful detours in mapping controls, if compliance executives don’t plan carefully. ...
Purported “testimonial and review” service Rytr agreed to stop selling its program that used artificial intelligence to create fake content as part of a consent order with the Federal Trade Commission.
Whether you’re a multinational telecommunications company looking to certify your anti-corruption program post-settlement, or a biochemical company victimized by a “rogue” employee, seeing the light at the end of the enforcement tunnel isn’t always easy.
