{"id":318,"date":"2016-11-16T16:12:29","date_gmt":"2016-11-16T16:12:29","guid":{"rendered":"http:\/\/localhost\/?p=318"},"modified":"2016-11-30T17:16:21","modified_gmt":"2016-11-30T17:16:21","slug":"ensuring-adequate-cybersecurity-procedures-and-systems","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2016\/11\/16\/ensuring-adequate-cybersecurity-procedures-and-systems\/","title":{"rendered":"Ensuring Adequate Cybersecurity Procedures and Systems"},"content":{"rendered":"<p>On November 14, 2016, FINRA <a href=\"https:\/\/dlbjbjzgnk95t.cloudfront.net\/0862000\/862856\/66846.pdf\">fined a registered broker-dealer $650,000<\/a> for failing to safeguard confidential customer data against foreign hackers.\u00a0 Confidential customer information was stored on the firm\u2019s electronic system without adequate protection from cyber hackers, which resulted in the exposure of confidential information for approximately 5,400 firm customers.\u00a0 Although there was no evidence that the exposure of this customer information resulted in any distinct customer harm, FINRA insisted that the firm\u2019s cybersecurity procedures and systems were inadequate.\u00a0 The firm\u2019s prior disciplinary history (similar fine in 2011) was also an important factor in FINRA\u2019s decision to levy this $650,000 punishment.<\/p>\n","protected":false},"excerpt":{"rendered":"<p>On November 14, 2016, FINRA fined a registered broker-dealer $650,000 for failing to safeguard confidential customer data against foreign hackers.\u00a0 Confidential customer information was stored on the firm\u2019s electronic system without adequate protection from cyber hackers, which resulted in the exposure of confidential information for approximately 5,400 firm customers.\u00a0 Although there was no evidence that &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2016\/11\/16\/ensuring-adequate-cybersecurity-procedures-and-systems\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">Ensuring Adequate Cybersecurity Procedures and Systems<\/span> <span class=\"meta-nav\">&rarr;<\/span><\/a><\/p>\n","protected":false},"author":8,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_exactmetrics_skip_tracking":false,"_exactmetrics_sitenote_active":false,"_exactmetrics_sitenote_note":"","_exactmetrics_sitenote_category":0,"footnotes":""},"categories":[23,24,22],"tags":[],"class_list":["post-318","post","type-post","status-publish","format-standard","hentry","category-compliance","category-enforcement","category-standard-of-care"],"aioseo_notices":[],"aioseo_head":"\n\t\t<!-- All in One SEO 4.9.9 - aioseo.com -->\n\t<meta name=\"description\" content=\"On November 14, 2016, FINRA fined a registered broker-dealer $650,000 for failing to safeguard confidential customer data against foreign hackers. 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