investment advisory firms

KMS Financial Services, Cetera entities and Cambridge Investment Research agree to pay fines for non-compliance to SEC cybersecurity policies and procedures

By admin1 on August 31, 2021 • ( 0 )

In a statement the U.S. Securities and Exchange Commission (SEC) said, the units of three broker-dealer and investment advisory firms have agreed to pay hundreds of thousands of dollars in penalties to settle charges over cybersecurity failures. The SEC had… Read More ›