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SEC Settles Charges of Cybersecurity Failure Against GWFS Equities The broker/dealer has agreed to a $1.5 million fine, a censure and an order to cease and desist from future violations. Reported by The Securities and Exchange Commission (SEC) announced it has settled charges against GWFS Equities, a Colorado-based registered broker/dealer (B/D) and affiliate of Great-West Life & Annuity Insurance Co., for allegedly violating the federal securities laws governing the filing of Suspicious Activity Reports (SARs). GWFS provides services to employer-sponsored retirement plans. The SEC says that between September 2015 and October 2018, GWFS was aware of increasing attempts by external bad actors to gain access to the retirement accounts of individual plan participants. The agency further says GWFS was aware that the bad actors attempted or gained access by, among other things, using improperly obtained personal identifying information of the plan participants, and that the bad actors

United statesKurt gottschallEmployee benefits security administrationExchange commissionUs department of laborSecurities exchangeLife annuity insurance coGreat west lifeSuspicious activity reportsFinancial crimes enforcement networkSecurities exchange actBenefits security administrationஒன்றுபட்டது மாநிலங்களில்கர்ட் கொதிடஸ்சலிளிபரிமாற்றம் தரகுஎங்களுக்கு துறை ஆஃப் தொழிலாளர்