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SEC charges broker-dealers, investment advisors over cybersecurity failures
Trends, Reports, Analysis
August 31, 2021
Reuters
The SEC charged KMS Financial Services, five units of financial firm Cetera, and two units of Cambridge Investment Research for failures to adopt and implement cybersecurity policies and procedures.
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Securities and Exchange Commission (SEC)
Regulatory Fines
Cybersecurity Failures
KMS Financial Services
Cetera
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