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Browse: Home / 2014 / April / 18 / SEC to Launch Cybersecurity Exams of Investment Firms, Offers Sample Document Requests – Compliance Week

SEC to Launch Cybersecurity Exams of Investment Firms, Offers Sample Document Requests – Compliance Week

By Securities Docket on April 18, 2014, 12:30 pm

On April 15, 2013, the SEC’s Office of Compliance Inspections and Examinations quietly disclosed its examination module pertaining to cybersecurity. The disclosure came in the form of a Risk Alert which noted that OCIE will be conducting examinations of more than 50 registered broker-dealers and registered investment advisers.

via SEC to Launch Cybersecurity Exams of Investment Firms, Offers Sample Document Requests – Compliance Week

Posted in Risk Mgmt | Tagged Examinations, OCIE

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