Tag Archives: Compliance Procedures

SEC’s Observations on the Elements of Robust Cybersecurity Policies and Procedures

The Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections (“OCIE”) issued a Risk Alert that provides its observations on the elements of robust cybersecurity policies and procedures.  Those observations resulted from OCIE’s examinations conducted pursuant to the Cybersecurity Examination and the elements noted by OCIE staff (“staff”) during the review of the respective policies … Continue reading SEC’s Observations on the Elements of Robust Cybersecurity Policies and Procedures