SEC, FINRA, Reg S-P, Reg BI, examination priorities, record keeping
The Oasis Group CEO John O'Connell was featured in this article from Family Wealth Report covering the hottest AI use cases for advisors.
The digital era has brought with it an increase in cyber threats that target businesses of all sizes. As a response to this growing problem, the SEC introduced new regulations that compel companies to publicly disclose their breaches within specific deadlines.
This article examines the challenges associated with the SEC’s proposed cybersecurity risk management rule and the expected effect on financial services firms. He also details how firms can prepare for the new rule.
John O’Connell, CEO and Founder of The Oasis Group recently offered insights to Wealth Solutions Report exploring the implications of the recent complaint filed by the ransomware group ALPHV (aka “BlackCat”) and how it could impact businesses.
The Oasis Group CEO John O’Connell wrote this bylined article that was published in Advisor Perspectives by VettaFi, where he discusses why using a company email account for personal reasons is risky and how it can affect you legally.
This article examines the challenges associated with the SEC’s proposed rule, the expected effect on financial services firms, and how firms can prepare now for the new rule.
Do you use your company email for personal purposes? If so, you may want to think twice. Your employer owns the servers and the emails that are stored in them, which means they can be accessed by your employer at any time. This could lead to serious consequences if you are not careful with what...
Our customer received a notice from their current email, social media, Microsoft Teams, and website archiving vendor that the vendor required additional Microsoft licensing. Additional licensing would increase costs by 30%.
