Tag Archives: SEC Risk Alert

SEC Provides Investment Advisers Guidance Relating to Electronic Messaging

Legal Alerts,

The Office of Compliance Inspections and Examinations (“OCIE”) of the Securities and Exchange Commission (“SEC”) conducted a limited-scope examination initiative of registered investment advisers (“advisers”) that was designed to provide … Continue reading SEC Provides Investment Advisers Guidance Relating to Electronic Messaging →

SECs Cybersecurity Examination Initiative Notes Firms Should Improve Cybersecurity

Legal Alerts,

The Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections (“OCIE”) has issued a Risk Alert that provides observations on cybersecurity arising from OCIE’s examinations conducted pursuant to the Cybersecurity … Continue reading SECs Cybersecurity Examination Initiative Notes Firms Should Improve Cybersecurity →