OCIE Announces Second Round of Cybersecurity Examinations

September 18, 2015

The SEC’s Office of Compliance Inspections and Examinations (OCIE) announced in its most recent Risk Alert1 that it will continue to focus on cybersecurity by conducting additional examinations of registered broker-dealers and investment advisers. OCIE noted that its second round of cybersecurity examinations, which will involve further testing designed to evaluate the implementation of broker-dealers' and advisers' procedures and controls

For more information about the OCIE examinations, see Seward & Kissel LLP Client Alert: OCIE Announces Second Round of Cybersecurity Examinations at http://xlo3.wpengine.com/pubs/xprPubDetail.aspx?xpST=PubDetail&pub=711.


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Investment Advisers, Investment Companies