consistent with a focus by the Asset Management Unit on retail issues, according to Mr. Kelly the unit has not walked away from other areas, such as the private fund space, which accounted for 10 new cases in 2
You can view the security overview on the large screen in real time and periodically subscribe to security operation reports to know the core security indicators.Cloud Native Asset Stocktaking and Risk Prevention All assets and security configurations on the cloud are automatically checked, and ...
Large SecMaster displays the comprehensive × √ Screen security posture of your assets in the cloud in real time. Note: The large screen function needs to be applied for separately. Security You can create custom analysis reports to × √ Reports quickly have an overview of asset security. ...
Division indicates that another focus will be firms’ operational resiliency and their supervision of third-party or vendor services used for financial reporting and credit and liquidity risk management controls. In the trading practices area, the Division will focus on marketing to retail customers ...
Participate in cyber security incident response as required. Remain informed on trends and issues in the security industry, including current and emerging technologies and prices. Advise, counsel, and educate executive and management teams and others on their relative importance and financial impact. ...
the difficulty in locating and recruiting suitable candidates for middle and senior management positions; governmental uncertainties, general competition and price pressures in the marketplace; 1 Table of Contentsuncertainty as to future profitability and the risk that security, reliability and ...
EXAMS will focus on firms’ use of certain services, such as automated investment tools, artificial intelligence (“AI”), and trading algorithms or platforms, and the risks associated with the use of emerging technologies and alternative sources of data. In particular, EXAMS will examine firms ...
Citing the volatility and activity in proliferating crypto asset markets, the Division will continue to monitor and examine registrants offering crypto asset–related services. Examinations will assess a wide range of activities involving crypto assets offered and sold as securities or related products (...
In addition, it is important for management to assess whether there are different risks during and after the implementation of a new accounting standard. Accounting and Financial Reporting Topics Adoption of New GAAP Standards and Other Current Issues Adoption of the FASB’...
Crypto Assets and Emerging Financial Technology The Division highlighted continued volatility and activity in crypto asset markets and indicated that it will monitor and conduct examinations of registrants focusing on the offer, sale, recommendation of, advice regarding, trading in, and other ac...