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Browse: Home / OCIE

OCIE

Are You Prepared for the SEC OCIE Cybersecurity Sweep?

By Securities Docket on May 24, 2019, 7:42 am

In March 2019 the SEC Office of Compliance, Inspections and Examinations (OCIE) announced it would soon commence its annual “Cybersecurity Sweep” (Cyber Sweep) of registered investment advisers and broker-dealers. If these entities were not already focused on cybersecurity, OCIE’s announcement should assure registrants that cybersecurity is not a single frame of a movie, but a […]

Posted in Top | Tagged OCIE, Sweeps

The SEC, Cybersecurity, and Registered Investment Advisers: All in the Same Boat Fighting Cybercrime | Insights | Greenberg Traurig LLP

By Securities Docket on August 10, 2018, 11:08 am

The Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) has recently started to examine the capabilities of domestic organizations to fend off attempted cyberattacks and respond quickly to successful ones to ensure the confidence of investors, limited partners, and public markets in general. Since these attacks can be […]

Posted in Regulatory, Top | Tagged OCIE, SEC

SEC Expands Cybersecurity Compliance Requirements For 2016 | Password Protected

By Securities Docket on January 27, 2016, 2:45 pm

On January 11, 2016, the Securities and Exchange Commission announced the 2016 examination priorities list. For the third year in a row, cybersecurity is a top concern, especially with regard to internal security program assessment and evaluation.  This year the Office of Compliance Inspections and Examinations (OCIE) will focus on cybersecurity protocols implemented by financial […]

Posted in Regulatory, Top | Tagged OCIE

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 | […]

Posted in Regulatory, Top | Tagged OCIE

May 1 Webcast: Cybersecurity and Financial Firms -- Bracing for the Regulatory Onslaught

May 1 Webcast: Cybersecurity and Financial Firms — Bracing for the Regulatory Onslaught

By Securities Docket on April 18, 2014, 6:21 pm

Please join John Stark and Bradley Bondi for this free webcast.

Posted in Data Breach, Regulatory, Risk Mgmt | Tagged FINRA, OCIE, Webcasts

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 […]

Posted in Risk Mgmt | Tagged Examinations, OCIE

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