United States: Mortgage Lender Settles NYDFS Charges For Failure To Report Cyber Breach - Cadwalader, Wickersham & Taft LLP

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08 Mar 2021 0 shares 1 views

United States: Mortgage Lender Settles NYDFS Charges For Failure To Report Cyber Breach - Cadwalader, Wickersham & Taft LLP

Mondaq

Published 08 Mar 2021

To settle the violations, the mortgage lender agreed (i) to pay a $1.5 million civil monetary penalty and (ii) to an undertaking to further enhance its existing cybersecurity program.

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United States: Firm Settles FINRA Charges For Failing To Detect And Report Suspicious Transactions In Low-Priced Securities - Cadwalader, Wickersham & Taft LLP

A firm settled FINRA charges for its failure to "reasonably tailor" its AML program for its "low-priced securities liquidation..

Mondaq 08 Mar 2021

United States: Broker-Dealer Settles FINRA Charges For Failure To Implement Risk Management Controls - Cadwalader, Wickersham & Taft LLP

A broker-dealer settled FINRA charges for failing to establish controls and supervisory procedures reasonably designed to ensure..

Mondaq 01 Mar 2021

United States: Mortgage Lender Settles NYDFS Charges For Failure To Report Cyber Breach - Cadwalader, Wickersham & Taft LLP

United States: Mortgage Lender Settles NYDFS Charges For Failure To Report Cyber Breach - Cadwalader, Wickersham & Taft LLP

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