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.
