The SEC’s Office of Compliance Inspections and Examinations published a series of observations gleaned from hundreds of exams over a period of years. While OCIE’s charge is the inspection of registered investment entities, the observations of the exam staff offer …
Tag: cybersecurity
SEC’s Latest Cybersecurity Risk Alert Identifies Elements of Robust Policies and Procedures
This is a guest post by Nick Akerman, Genna Garver and Kimberly Frumkin, Dorsey & Whitney On August 7, 2017 the Securities and Exchange Committee (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) released yet another cybersecurity Risk Alert entitled, …
