From our colleagues Catherine Anderson and Lauren Tran, we present this update on OCIE’s 2015 Cybersecurity Examination Initiative: Second Round of Cybersecurity Examinations to Begin
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On September 15, 2015, the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) issued a Risk Alert announcing a second round of examinations of registered investment advisers and broker-dealers under its cybersecurity examination initiative.… More