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OCIE Provides Key Observations from 2014 Cybersecurity Examination Initiative

Bruce Carton | February 4, 2015

On April 15, 2014, the SEC's Office of Compliance Inspections and Examinations announced that it would be conducting examinations of more than 50 registered broker-dealers and registered investment advisers focused on cybersecurity governance and risk. Until yesterday, there has been little or no information from the SEC concerning the results of those examinations. In a Risk Alert published yesterday, however, OCIE provided summary observations from the examinations conducted under the April 2014 Cybersecurity Examination Initiative.

Some of OCIE's key observations from its examinations of 57 registered broker-dealers and 49 registered investment advisers include:

  • 93% of broker-dealers and 79% of investment...
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