News and commentary about white-collar crime, enforcement, and compliance
Harry Cassin
Publisher and Editor
Andy Spalding
Senior Editor
Jessica Tillipman
Senior Editor
Bill Steinman
Senior Editor
Richard L. Cassin
Editor at Large
Elizabeth K. Spahn
Editor Emeritus
Cody Worthington
Contributing Editor
Julie DiMauro
Contributing Editor
Thomas Fox
Contributing Editor
Marc Alain Bohn
Contributing Editor
Bill Waite
Contributing Editor
Russell A. Stamets
Contributing Editor
Richard Bistrong
Contributing Editor
Eric Carlson
Contributing Editor
On September 15, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a new cybersecurity risk alert. In it, the SEC reemphasized its intention to conduct a second phase of cybersecurity examinations of investment adviser firms.… Continue Reading
A St. Louis-based investment adviser has settled SEC charges that it lacked an adequate cybersecurity plan before a data breach that compromised personal information of about 100,000 individuals, including thousands of the firm’s clients. … Continue Reading