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OCIE Provides Additional Information on Cybersecurity Exam Initiative

The SEC’s Office of Compliance Inspections and Examinations (OCIE) recently issued a risk alert to provide further information about its cybersecurity exam initiative.  The exams of 50 registered broker-dealers and registered investment advisers will focus on “the entity’s cybersecurity governance, identification and assessment of cybersecurity risks, protection of networks and information, risks associated with remote customer access and funds transfer requests, risks associated with vendors and other third parties, detection of unauthorized activity, and experiences with certain cybersecurity threats.”  The risk alert included a sample request as a way to “empower compliance professionals in the industry with questions and tools they can use to assess their firms’ level of preparedness, regardless of whether they are included in OCIE’s examinations.”

 

 
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