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May 6, 2015

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SEC fines an Investment Advisor!

Monday, October 19, 2015


The Financial firms that have lax cybersecurity practices can expect a crackdown from regulators, the head of the Securities and Exchange Commission’s enforcement unit most recently. The agency charged a St.Louis-based investment adviser last month for failing to follow adequate security practices like encrypting client information, assessing its risks and developing a response plan for after hacks. It fined R.T. Jones Capital Equities Management $75,000. Consequences of a case can vary, from fines to cease and desist orders, suspension or revocation of broker-dealer and investment adviser registrations, censures bars from association with the securities industry and other penalties.


It is very good to see a regulatory issuing adherence to said standards and actually enforcing the standard. The financial services market has a high degree of hubris as they believe they are impervious to breaches, fines and regulations. The SEC is not attempting to operate how a firm manages in this regard, they simply want the interests protected of all parties.


The amount of data that is housed in these firms are astronomical ranging from financial information, intellectual property, personal identifiable information and many more. It is time that funds halt from being “bull’ish” and separate information technology from information security while seeking professional help in adapting information security practices to protect all the sensitive assets of the firm.


Please contact The Knox Corps for more information!



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_MS, Information Security


_CCIE Security

_Certified Information Privacy Profesional (CIPP/US)

_Cisco Intrusion Prevention Specialist 


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