Searching Content indexed under Security by Duff and Phelps ordered by Published Date Descending.
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Hassan El Asraoui Discusses Duff & Phelps CyberClarity360 (Video)
"CyberClarity360TM was built from the ground up as a tool that benefitted from our service experience," said Hassan El Asraoui, Managing Director and Global Head of the Legal Management Consulting Group.
United States
8 Aug 2019
Develop Your Legal Vendor Cyber Risk Management Program
The prospect of adding cyber risk management to an Outside Counsel Management (OCM) program can be daunting.
United States
15 Jul 2019
People, Process And Technology In A Legal Vendor Cyber Risk Management Program
Be prepared to endure both the timeline and the fully burdened cost if you choose to secure a full-time in-house resource to support this effort.
United States
15 Jul 2019
Why Your Legal Department Needs To Conduct Cyber Risk Assessments
A recent survey of over 130 general counsel from around the world was conducted by Kroll, a division of Duff & Phelps, and LegalWeek.
United States
15 Jul 2019
Augment Your Legal Vendor Cyber Risk Management Program
In this section, we discuss the decisions you'll make as you supplement or augment your existing capacities in this regard.
United States
15 Jul 2019
Navigating The Challenges Of Regulatory And Enforcement Actions
Strategies for handling these potentially traumatic situations need to be an integral part of a firm's compliance DNA.
United States
21 Jun 2019
OCIE Risk Alert – Safeguarding Customer Records And Information In Network Storage
On May 23, 2019, the OCIE published a Risk Alert regarding security risks associated with the storage of electronic customer records and information by broker-dealers and investment advisers in various network storage solutions ...
United States
20 Jun 2019
Through The Regulator's Eyes
Just like compliance officers, regulators work within a range of forces, priorities, and constraints. Understanding those factors is essential for managing regulatory relationships.
United States
14 Jun 2019
FINRA 2018 Report On Selected Cybersecurity Practices
On December 20, 2018 FINRA published its Report on Selected Cybersecurity Practices – 2018, detailing FINRA's observations regarding effective information-security practices implemented at securities
United States
22 Jan 2019
SEC First Cybersecurity Action And Cyber Preparedness
The message associated with this settlement and penalty is clear.
United States
18 Jan 2019
Cyber Failures Can Be Costly – The SEC's Latest Salvo On Cybersecurity
If the Security and Exchange Commission's February 2018 guidance on cybersecurity represented a wake up call, the Sept 26th enforcement settlement involving a one million dollar penalty for failure...
United States
5 Nov 2018
The Future In Focus
The wheels of justice turn slowly, but grind exceedingly fine, goes the old saying.
1 Nov 2018
Regulatory Enforcement Priorities
The end of the big benchmark manipulation cases, which were somewhat thrust upon regulators, and the freeing up of enforcement resources has allowed regulators to pursue more of their own priorities ...
31 Oct 2018
Duff & Phelps Publishes Its Annual Global Regulatory Outlook
The more things change, the more they stay the same. With Brexit and Trump dominating global headlines last year, much of the resulting uncertainty persists in our Global Regulatory Outlook 2018 survey.
United States
30 May 2018
Cyber Risks Beyond Your Four Walls
At a national level, we have Rule 30 of the SEC's Regulation S-P under which firms must adopt written policies and procedures to protect customer information.
24 Apr 2018
Regulatory Focus - March 2018
In this edition of Regulatory Focus, Duff & Phelps provides a synopsis of the FCA's latest news and publications issued in January and February 2018.
15 Mar 2018
Global Regulatory Outlook 2017: The Convergence Of AML And Cybersecurity
Cyber breaches have become an unwelcome staple of our era.
10 Aug 2017
Global Regulatory Outlook 2017: Preparing For And Responding Effectively To Cyber Attacks
Respondents to the Global Regulatory Outlook (GRO) 2017 survey clearly stated that cybersecurity would be a focus for 2017 and beyond.
United States
9 Aug 2017
NFA And FINRA Provide Cybersecurity Guidance And Workshops
On May 3, 2017, FINRA will host a Compliance Bootcamp in New York City for its members and will provide guidance on cybersecurity.
United States
4 Aug 2017
SEC Says Cybersecurity Is The Number One Risk To Financial Markets
The development and implementation of cybersecurity policies and procedures customized to the size, strategy, and risk to your business is an important area of focus for the SEC.
United States
3 Aug 2017
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