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SEC Order.pdf

34-84288.pdf

🔗 Source: sec.gov

📊 Size: 388 KB

👤 Author: U.S. Securities and Exchange Commission

⬇️ Downloads: 63

Summary

Voya Financial Advisors, Inc. failed to adopt written policies and procedures to protect customer records and information, violating the Safeguards Rule, and failed to develop and implement a written Identity Theft Prevention Program, violating the Identity Theft Red Flags Rule. Between 2013 and 2017, the company gave independent contractor representatives access to customer information through a web portal, which was compromised in 2016 when impersonators obtained passwords and accessed personally identifiable information of at least 5,600 customers. The company's policies and procedures were not reasonably designed to prevent and respond to cybersecurity incidents, and it failed to terminate the intruders' access to customer accounts due to deficient cybersecurity controls.

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Description

Voya Financial Advisors, Inc.

Technical Information

File Format: PDF
File Size: 388 KB
Pages: 14
Language: EN
Author: U.S. Securities and Exchange Commission
Total Downloads: 63
Last Updated: 3 weeks ago

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