The Delve compliance scandal didn’t just expose one company. It exposed an entire industry cutting corners, and their clients’ businesses are paying the price for it. You wouldn’t hire a surgeon because they were the cheapest option on Groupon. You wouldn’t trust a fire inspector who never actually visited your building. And yet, somehow, an […]
Tag Archives: vCISO compliance
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Dec
Dec
If you operate a financial institution whether you are a broker-dealer, investment adviser, or transfer agent the regulatory landscape just shifted beneath your feet. On August 2, 2024, the SEC adopted comprehensive amendments to Regulation S-P, modernizing the rules that govern how financial institutions handle nonpublic personal information. While the original regulation (adopted in 2000) […]