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News October 1, 2018 Issue

Cybersecurity: Firm Pays $1 Million to Settle Deficient Procedure Charges

A dually-registered adviser/broker-dealer agreed on September 26 to pay the SEC $1 million in fines as part of a settlement over cybersecurity violations. The settlement with Des Moines-based Voya Financial Advisers involved violations of two agency cybersecurity-related rules, as well as a 2016 incident in which hackers gained access to personally identifiable information for at least 5,600 of the firmís customers.

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