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SEC charges investment adviser with failing to adopt proper cybersecurity policies and procedures prior to breach

2015/09/22

U.S. Securities and Exchange Commission - (National) St. Louis-based R.T. Jones Capital Equities Management agreed September 22 to pay $75,000 to settle U.S. Securities and Exchange Commission charges that the firm failed to establish required cybersecurity policies and procedures in advance of a breach that compromised information of about 100,000 individuals in July 2013.

Source: http://www.sec.gov/news/pressrelease/2015-202.html

Note: This news synopsis is taken from the DHS Daily Open Source Infrastructure Report, a daily [Monday through Friday, except US Federal holidays] summary of open-source published information concerning significant critical infrastructure issues; a 10-day archive of the DOSIR can be found at: http://www.dhs.gov/dhs-daily-open-source-infrastructure-report.


Last Updated: 27 May 2016 10:25:19