FinLaw: Broker-Dealer and Investment Adviser inadequate cyber security procedure and control cases will be SEC and FINRA priority for many years to come

A new SEC enforcement case a against dully registered broker-dealer and investment adviser for deficient cyber security procedures under Reg S-P and Reg S-ID resulting in sanctions and a $1 million civil money penalty. Expect to see many, many more, and similar FINRA cases coming soon.

Speaker, City Blockchain Summit, June 20, 2018, Los Angeles, CA Speaker on panel at conference held at UCLA. SEC & IRS REGULATIONS “WHAT’S NEXT FOR BLOCKCHAIN TOKENS & ICO’S” Moderator: ANDREW DIX, Founder CROWDFUNDINSIDER Panel: SCOTT ANDERSEN, ESQ.| MICHAEL HOMEIER, ESQ. / MORVAREED SALEHPOUR, ESQ./  CHARLES KAUFMAN, ESQ. | GEOFFREY ASHBURNE, ESQ. 11:15 AM – 12:15 PM  

Speaker, The Full Stack Capital Raise – Technology, Regulation & Opportunity, webinar June 19, 2018 Speaker at Investor Management Services (IMS) webinar focusing on technology in capital raising, the issuer exemption, and Section 15 broker-dealer registration requirements. Other Panelists included Ron Sossi – VP of Business Development at IMS, Greg Brown – Head of Real Estate at, and Graeme Humphreys – Chief Financial[…]