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Tag Archives: cybersecurity
10 Remote Compliance Best Practices
from Cipperman Compliance Services Today, we offer our “Friday List,” an occasional feature summarizing a topic significant to investment management professionals interested in regulatory issues. Our Friday Lists are an expanded “Our Take” on a particular subject, offering our unique … Continue reading
Coronavirus and Fraud
Be aware that opportunistic criminals are using the coronavirus pandemic to steal people’s money and identities. Here are some of the strategies you should be aware of: Outbreak maps. Don’t click on any link that purports to show a … Continue reading
Posted in Uncategorized
Tagged Chief Compliance Officer, Coronavirus, cybersecurity, phishing
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I know these are very tough times, with the markets down and towns going into quarantine mode. Here are a few tips from Jen Goldman of Jen Goldman Consulting, most which you all know. TIPS: 1. make sure everyone knows … Continue reading
New Hacking Incident – be VERY Aware
A client recently sent me an email asking about a blank form he received in the mail. It was a MA-W Notice of Withdrawal form (it is a form for withdrawing registration as a municipal advisor). It was sent without … Continue reading
Cybersecurity Training Options
Cybersecurity is once again on the SEC’s OCIE exam priorities list. There are many things that a firm can do to counter the concerns of Cybersecurity. One of the most difficult items to counter is an employee and their inadvertent … Continue reading
Cybersecurity Checklist
At the NASAA (North American Securities Administrators Association) annual meeting last month, the group was presented with a tool for state-registered advisers to help them assess their cybersecurity preparedness. The NASAA Cybersecurity Checklist for Investment Advisers includes 89 assessment areas … Continue reading
Posted in Uncategorized
Tagged compliance, Compliance Testing, cybersecurity, Investment Advisor
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Be Aware When Wiring Funds for a Client’s Escrow
It has come to my attention that wiring funds to close an escrow for a client could end up with funds going to a hacker. My understanding is that most escrow companies will give the wiring instructions to the client … Continue reading
Microsoft Office Vulnerability Fix
From True North Networks WARNING – There is currently an aggressive attack campaign underway against a previously undisclosed vulnerability in Microsoft Word, which can be used to quietly install different kinds of malware — even on fully-patched computers. The bug … Continue reading
5 ways to detect a malicious “phishing” email
from Carbonite For as long as there’s been email, there’s been email scams. At least since the time email first started gaining widespread popularity in the 1990s, phishing scams have been showing up in email accounts. They’re called ‘phishing’ emails … Continue reading
Five steps to take when you suspect you are a victim of a cyber attack
from IAWatch Step 1: Contact your IT leader. Step 2: Assess if your system has been penetrated. Step 3: Detect the extent of the hack. Step 4: Notify clients – be aware of your state’s laws regarding alerting a client … Continue reading
Posted in Uncategorized
Tagged cybersecurity, IA regulations, Investment Advisor, SEC regulations
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Hill Compliance Advisors' Blog 