Recent Risk Alerts by SEC OCIE Highlight Privacy and Cybersecurity Issues in Examinations
Data Matters
JUNE 3, 2019
The SEC’s Office of Compliance Inspections and Examinations (OCIE) released two Risk Alerts, on April 16, 2019 and May 23, 2019, highlighting the importance of privacy and cybersecurity compliance for SEC-registered investment advisors and broker-dealers under Regulation S-P. April 16 Risk Alert – Privacy Notices and Safeguard Policies.
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