Lindsay Wuller Aggarwal

Lindsay Wuller Aggarwal

BCLP

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OCIE Publishes Risk Alert Summarizing Observations from Recent Cybersecurity Examinations

On August 7, 2017, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert summarizing its observations from cybersecurity preparedness examinations conducted of 75 broker-dealers, investment...more

8/11/2017  /  Broker-Dealer , Cybersecurity , Data Protection , Investment Adviser , Investment Companies , OCIE , Popular , Risk Alert , SEC Examination Priorities , Securities and Exchange Commission (SEC)
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