Financial Services & Technology News for July 2021
SEC Wrap Fee Alert, Put All Your Apps in Teams, WiFi Security Checklist, Power BI Drives Quick Confident Decisions, Lock Down M365 from Hackers
July 28, 2021 David GemmaTag: SEC
July 28, 2021 David GemmaSEC OCIE Releases Cyber Security Risk Alert to Financial Services. The OCIE has observed an apparent increase in sophistication of ransomware attacks on SEC registrants designed to penetrate financial institution networks.
April 29, 2020 David GemmaFinancial Services & Technology News for April 2020
Tech – Microsoft TEAMS: Online Meeting Tips
Cyber Security – Safe & Secure Work From Home Computing Tips
Medical Tech – How 3-D Printers are Helping Fight the Coronavirus
FinServ Trends – Refinitiv Perspectives on the Growing Demand for ESG-Themed Products
Solution – Reduce Your Client Reporting Overhead and Frustrations
Hacked AGAIN – Marriott Suffers Second Breach in as Many Years
Video – Office 365 Renamed to Microsoft 365, Now Includes MS TEAMS, Same Low Monthly Price
SEC – Importance of Delivering Timely & Material Information to Investors
Tips – Do the Right Thing, Use Unique Passwords for Every Site with a Password Manager
Solution – A Complete Outsourced IT Suite that Flexes to Meet Every Budget
Trivia – The 4 C’s of Diamonds, the April Birthstone
The SEC Office of Compliance Inspections & Exams(OCIE) released Cybersecurity & Resiliency Observations on Risk Mgmt, Data Loss Prevention, Cyber/Mobile Security
Financial Services & Technology News
UNAPEN Newsletter – April 2019
Video – Tired of Wasting Time & Money on Client Reporting Cycles?
What does UNAPEN’s Microsoft Gold-Certified Partner Designation Mean to Our Clients?
Solution – ClientRep Reduces Custom Client Reporting Effort by Over 60%
News – Hackers Take Police Ransom in Albany & Atlanta!
Have you signed up for SEC updates related to Reporting, Compliance and More?
From Finance Firms to Factories — Technology Powers Industry Innovation
Case Study: Challenges & Solutions Encountered with Axys Custom Reporting
Tip – Simplifying Password Complexity
Trivia – Thermodynamics Behind the Stanley Cup
The SEC is recommending that RIAs and Funds be proactive in identifying CyberSecurity risks and threats, but firms are finding that this is an expensive proposition that isn’t in the budget.
UNAPEN CEO Joe Walker directing discussion on SMA Compliance in Boston. Focus will be on key compliance and regulatory issues affecting the SMA market including SEC oversight and audits, trade rotation, best execution and outsourcing back office functions.