Two new reports by regulators on the state of the financial services industry’s cyber-security readiness find that while firms have made definite progress in recent months, much work remains to be done to shore up cyber-defenses. The reports, issued Feb. 3 by the Financial Industry Regulatory Authority (FINRA) and the SEC, draw on the findings… Read More >>
SEC Names Associate Director for IA/IC Exams
The SEC has named Steven J. Levine as the associate director for the investment adviser/investment company examination program in its Chicago office, officials say. Levine will oversee the IA/IC examination program in nine Midwestern states, with a staff of roughly 65 examiners, accountants and attorneys. Levine joined the IA/IC examination program in Chicago in 2010… Read More >>
