Tag Archives: Securities and Exchange Commission’s Office of Compliance Inspections and Examinations

SEC Cybersecurity Risk Alert Emphasizes Proactive Compliance and Ongoing Vigilance

By Jonathan A. Forman and Melinda L. McLellan on August 16, 2017 Posted in Cybersecurity

On August 7, 2017, the Securities and Exchange Commission (SEC) released its latest cybersecurity risk alert, detailing findings from the examination of 75 broker-dealers, investment advisers and investment companies carried out by its Office of Compliance Inspections and Examinations (OCIE) pursuant to its 2015 cybersecurity examination initiative. In contrast with the previous round of examinations, … Continue Reading

The SEC OCIE Announces Increased Scrutiny of Broker-Dealers’ and Investment Advisers’ Cybersecurity Programs

By Will R. Daugherty on September 28, 2015 Posted in Cybersecurity

On September 15, 2015, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) issued a National Exam Program Risk Alert (2015 Risk Alert) to provide broker-dealers and investment advisers with information on the focus areas of its upcoming round of cybersecurity examinations. OCIE is building on its previous cybersecurity examinations to increase … Continue Reading