St. Louis-based investment advisory firm R.T. Jones Capital Equities Management was charged by the SEC with failure to establish the required cybersecurity policies and procedures in advance of a breach that compromised the personally identifiable information (PII) of approximately 100,000 individuals, including thousands of the firm's clients.
Federal securities laws require that registered investment advisors put in place written policies and procedures that are reasonably designed to safeguard customer records and information.
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