Investment Firms Failing To Meet FINRA Enterprise Risk Management Requirements

In the last year alone, FINRA has disciplined more than 1,000 companies and individual investment advisors with over $34 million in penalties over failure to meet enterprise risk management requirements. FINRA, the Financial Industry Regulatory Authority, is dedicated to investor protection and market integrity through effective and efficient regulation of the securities industry. A key…

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cyberattack prevention

Experts: Cyber Risk Management Requires Enterprise-Wide Governance

Online media outlet TechTarget recently visited the 2014 Advanced Cyber Security Center (ACSC) conference right in our hometown of Boston, MA. Their findings? A successful cybersecurity risk management framework must be built around “Coordination. Cooperation. Collaboration.” “You are not going to eliminate the risk of attacks, you are going to manage the risk,” said Michael…

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good governance is made possible by ERM

Independent Research Proves 25% Market Value Premium of Mature ERM Programs

[Editor’s Note: The field of enterprise risk management is growing rapidly. Our new series, brought to you by the LogicManager Analyst Team, will keep you up to date on the latest news and developments in ERM.] Many business cases for enterprise risk management programs begin with what senior management can expect in terms of return…

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uncover your risks

#ERMvsGRC – Home Depot in Focus

Home Depot hacked. http://t.co/qZROzHKWr2. This #risk preventable with #ERMSoftware. So why are ERM Programs failing? http://t.co/gcbLO6wCjz — Steven Minsky (@SteveMinsky) September 2, 2014 The goal of an ERM program is to put your organization in the best position to manage uncertainty, and to provide transparency into areas of vulnerability so businesses can make better decisions.…

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