Join Us On LinkedIn
Join the Cybersecurity and Incident Response Group on LinkedIn
You are browsing the site archives by date.
By Securities Docket on May 8, 2019, 1:35 pm
The SEC’s new Risk Alert provides valuable insight as to what the OCIE wants to see broker dealers and investment advisers accomplish with their privacy notices and their cybersecurity policies and procedures. The SEC wants this written documentation to be comprehensive, to accurately reflect the registrant’s practices, and to be implemented effectively throughout their business. […]