White Paper

FINRA intensifies cybersecurity guidance for broker dealers

A regulatory deep-dive as cyber threats grow in importance.

AT A GLANCE

What you will learn from this whitepaper

Regulatory timeline

FINRA’s guidance over the past two years regarding digital due diligence for broker-dealers.

Disciplinary actions 

Examples of high-profile penalties that FINRA has handed down recently.

Create a culture of control

Areas to pay attention to include Risk Management, Outsourcing, Change Management and Data Governance.