Tag: cybersecurity

The Commission’s Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert titled CyberSecurity: Ransomware Alert (July 10, 2020)(here). The OCIE Alert follows one issued on the same topic by Homeland Security (AA19-339A), dated June 30 2020 (here), which …

OCIE and Cybersecurity: A Key Issue for All Read More »

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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 …

Cybersecurity: Key Observations From OCIE Read More »

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