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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A Risk Alert was published by the the Office of Inspections and Examinations or OCIE, alerting Investment Advisers of managed private funds to key issues that have arisen in prior examinations. The Alert highlights a series of deficiencies, some of …

OCIE Risk Alert – An Aid to Proper Compliance Read More »

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