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Browse: Home / Sweeps

Sweeps

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

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