Posts tagged SEC's Investor Bulletin.
The SEC and FINRA each issued February 3 cyber security "alerts" summarizing last year's sweep exams and pointing out the obvious. In two parts, the SEC's press-release covered the results of the Commission's 2013-2014 sweep exams and an investor bulletin. SEC Press Release 2015-20, here. The Commission's Office of Compliance Inspections and Examinations ("OCIE") conducted a "sweep exam" - or wide industry survey on the subject among broker-dealers and investment advisers- during 2013 and 2014. The good news is that a wide majority of them have have information security ...
Tags: BCP, Commission's Office of Compliance Inspections and Examinations, Cyber Security, Cyber Security Alert, finra, NSEC National Exam Risk Alert, OCIE, Quantum Dawn, SEC, SEC's Investor Bulletin, Securities Exchange Commission, Securities Industry and Financial Markets Association, SIFMA