SEC Settles Charges Against Investment Firm that Failed to Adopt Cybersecurity Policies

ronjor · Oct 4, 2015

10/2/2015 by Richard Martin

Recently, the SEC announced that R.T. Jones Capital Equities Management, a St. Louis-based investment adviser, agreed to settle charges that it failed to establish the required cybersecurity policies and procedures before a data breach that compromised the personally identifiable information (PII) of approximately 100,000 people, including many clients. A copy of the order can be found here. The chain of events is an all too familiar story of a company ill prepared to face modern cybersecurity threats that learned a hard lesson.
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http://www.jdsupra.com/legalnews/sec-settles-charges-against-investment-47513/

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SEC Settles Charges Against Investment Firm that Failed to Adopt Cybersecurity Policies

ronjor Global Moderator

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SEC Settles Charges Against Investment Firm that Failed to Adopt Cybersecurity Policies

ronjor Global Moderator

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