SEC examinations

SEC Charges Firm $1 Million For Deficient Cybersecurity Procedures

The SEC announced on September 26, that a Des Moines-based broker-dealer and investment adviser has agreed to pay $1 million to settle charges related to its failures in cybersecurity policies and procedures surrounding a cyber intrusion that compromised personal information of thousands of customers. Voya Financial Advisors Inc. (VFA) is charged with violating the Safeguards Rule…

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