Monthly Archives: September 2015

Ideas for creating a Cybersecurity Policy

Posted on September 30, 2015 by cindihill

Suggestions for starting work on your Cybersecurity Policy:  Take a risk assessment – I know everyone talks about risk, but the truth is how can you determine what are the issues if you don’t look at the potential risks.  I suggest … Continue reading →

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IA Charged with Failing to Adopt Proper Cybersecurity Policies and Procedures

Posted on September 25, 2015 by cindihill

On September 22, 2015, the SEC announced that a St Louis-based investment adviser agreed to settle charges that it failed to establish the required cybersecurity policies and procedures in advance of a breach that compromised the personally identifiable information (PII) … Continue reading →

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Texas reduces fees

Posted on September 1, 2015 by cindihill

The Texas State Securities Board voted to decrease registration fees for investment advisers.  This will make the cost to register in Texas (a state with a de minimis of 1 client) easier to swallow.  The initial registration fee which was … Continue reading →

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