-Chair of the SEC
TBG Security consultants have been helping customers comply with State and Federal business and privacy regulations for more than a decade.
Working as either a full-service consultant, or as an adjunct to your in-house teams, TBG Security will execute our phased compliance readiness process to ensure that the business meets or exceeds your compliance requirements.
In light of the OCIE’s continued interest in promoting the Cybersecurity Examination Initiative, it would be prudent for broker-dealers and investment advisers to reflect on their cybersecurity policies and preparedness. We’ve already seen fines of $75,000 and higher for non-preparedness.