Monthly Archives: September 2015

Ideas for creating a Cybersecurity Policy

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

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

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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