compliance and risk management priorities

FINRA 2017 Priorities Letter

Posted by - February 14, 2017
FINRA announced its priorities for the year, which will drive examination and regulatory programs and significantly impact market participants focused on compliance, supervision and risk management. This article by Venable attorneys discusses FINRA's focus on five specific areas.
Cybersecurity experts critical to managing enterprise risk

History is Repeating Itself (In a Good Way)

Posted by - February 6, 2017
Bay Dynamics CEO Feris Rifai suggests that what’s old is new again. Cybersecurity is undergoing the same transformation finance did post Sarbanes-Oxley; prior to 2002, having a director that was a financial expert in the American corporate boardroom was not the norm. This time next year, the idea of CISOs…
businesswoman looking at "AI" on gray background

Artificial Intelligence and Skilled Professionals Need One Another

Posted by - February 3, 2017
Limiting Risks in Adopting AI Enterprises and consumers are poised to adopt artificial intelligence in 2017. But along with many potential benefits, AI increases the attack surface, placing additional strain on the already thinly spread cybersecurity workforce. Finding and developing security professionals with the right skills and training is essential…
hooded figure looking at tablet

NY Revises Its Cybersecurity Rule Proposal

Posted by - January 19, 2017
Reviewing Key Changes The New York State Department of Financial Services (“DFS”) has revised its proposed cybersecurity rule in response to concerns submitted to its original proposal issued last September.  Patty Tehrani, lawyer and founder of Policy Patty Toolkit, outlines the changes, including to exemption sections, board reporting and notice…