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Browse: Home / 2015 / February / 04 / OCIE Provides Key Observations from 2014 Cybersecurity Examination Initiative | Compliance Week

OCIE Provides Key Observations from 2014 Cybersecurity Examination Initiative | Compliance Week

By Securities Docket on February 4, 2015, 11:51 am

In a Risk Alert published yesterday, OCIE provided summary observations from the examinations conducted under its April 2014 Cybersecurity Examination Initiative. The data from 57 registered broker-dealers and 49 registered investment advisers reveals some early findings on industry cybersecurity governance and risk management practices.

via OCIE Provides Key Observations from 2014 Cybersecurity Examination Initiative | Compliance Week

Posted in Regulatory, Top | Tagged OCIE

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