Tag Archives: SEC Risk Alert

SEC Provides Investment Advisers Guidance Relating to Electronic Messaging

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 the SEC with a greater understanding of the various forms of electronic messaging used by advisers and their personnel, the risks of such use, and … Continue reading SEC Provides Investment Advisers Guidance Relating to Electronic Messaging

SECs Cybersecurity Examination Initiative Notes Firms Should Improve Cybersecurity

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 Examination Initiative of 75 registered broker-dealers, investment advisers and investment companies.  The initiative was initially focused on making a preliminary assessment of industry practices and … Continue reading SECs Cybersecurity Examination Initiative Notes Firms Should Improve Cybersecurity