Richard L. Cassin Publisher and Editor

Andy Spalding Senior Editor

Jessica Tillipman Senior Editor

Harry Cassin Managing Editor

Elizabeth K. Spahn Editor Emeritus

Cody Worthington Contributing Editor

Julie DiMauro Contributing Editor

Thomas Fox Contributing Editor

Marc Alain Bohn Contributing Editor

Bill Waite Contributing Editor

Shruti J. Shah Contributing Editor

Russell A. Stamets Contributing Editor

Richard Bistrong Contributing Editor 

Eric Carlson Contributing Editor

Bill Steinman Contributing Editor

Aarti Maharaj Contributing Editor

FCPA Blog Daily News

Entries in RT Jones Capital (2)


Julie DiMauro: SEC warns on cybersecurity compliance and enforcement

On September 15, the SEC's Office of Compliance Inspections and Examinations (OCIE) issued a new cybersecurity risk alert. In it, the SEC reemphasized its intention to conduct a second phase of cybersecurity examinations of investment adviser firms.

Click to read more ...


SEC charges firm with failing to adopt proper cybersecurity policies

A St. Louis-based investment adviser has settled SEC charges that it lacked an adequate cybersecurity plan before a data breach that compromised personal information of about 100,000 individuals, including thousands of the firm’s clients. 

Click to read more ...