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Iron Cove Blog

Check here for the latest Iron Cove Case Studies & Financial Services Related Blog Posts

Case Study: $20+ Billion Global Family Office

Aug 18, 2017 1:42:19 PM

Who: $20+ Billion Family Office with Global Offices

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Tags: brokerage, Case Study, Family Office, financial services, insurance, Iron Cove, P&C

SEC OCIE Risk Alert | Observations from Cybersecurity Examinations August 2017

Aug 9, 2017 3:03:10 PM

On August 7th, 2017, the Office of Compliance Inspections and Examinations ("OCIE") released its observations from its Cybersecurity 2 Initiative. The staff examined  75 firms consisting of broker-dealers, investment advisers, and investment companies ("funds") in order to assess industry practices and legal and compliance issues associated with cybersecurity preparedness.

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Tags: cyber, Cyber & Privacy Liability, insurance, Iron Cove, Lou D'Agostino, OCIE, Office of Compliance Inspections and Examinations, PII, Policies, Procedures, Regulation, Risk, SEC, Testing

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