OCIE Provides Key Observations from 2014 Cybersecurity Examination Initiative

By Bruce Carton2015-02-04T09:45:00

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 ...

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Investment companies prepare for fresh wave of cyber-scrutiny

2016-04-26T10:15:00Z By Joe Mont

Armed with Regulation S-P—the SEC’s go-to enforcement tool for cyber-security—regulators will soon begin a fresh wave of actions against investment advisers and broker-dealers who take a cavalier approach to their cyber-security responsibilities. Joe Mont reports.
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2015-11-10T09:45:00Z By Joe Mont

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OCIE Provides Key Observations from 2014 Cybersecurity Examination Initiative

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Investment companies prepare for fresh wave of cyber-scrutiny

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