Monthly Archives: June 2021

Cybersecurity Guidance for Investment Advisers Managing ERISA plans Jun 03, 2021 03:51 pm | by Jaqueline Hummel, Partner and Managing Director, Hardin Compliance For Investment Advisers and Broker-Dealers DOL issues Cybersecurity Guidance.  On April 14, 2021, the U.S. Department of … Continue reading →

EMAIL SCAM Many of you may have received the FINRA: New Request email below. It is a scam. FINRA: New Request                          View Request                                       Case202106980000Request ID3989971Date Requested06/07/2021FINRA RequesterTa’She Spencer-Clifton                                                                                                                                            Dear Eileen,A Firm Compliance Request has been issued by FINRA for your … Continue reading →