2010, Cybersecurity, Exercises and Military - Information Management Today

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2010

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SEC and FINRA Issue 2020 Examination Priorities (Including Cybersecurity) for Broker-Dealers and Investment Advisers

Data Matters

JANUARY 24, 2020

OCIE also will focus on recommendations and advice provided to retail investors, with a particular emphasis on seniors, retirees, teachers and military personnel, as well as products that the SEC considers higher risk (e.g., Cybersecurity. OCIE Examination Trends. FY 2019 continued the trend of devoting resources to examine RIAs.

Cybersecurity

Cybersecurity Retail Compliance Marketing

SEC and FINRA Issue 2020 Examination Priorities for Broker-Dealers and Investment Advisers

Data Matters

FEBRUARY 20, 2020

OCIE has increased its examination coverage of RIAs over the past several years from 10% in FY 2014 to a high of 17% in FY 2018. Cybersecurity. products that carry higher fees and expenses, are complex or nontransparent, and situations in which the issuer is affiliated with the firm making the recommendation).In Market Integrity.

Retail

Retail Compliance Marketing Risk

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SEC and FINRA Issue 2020 Examination Priorities (Including Cybersecurity) for Broker-Dealers and Investment Advisers

SEC and FINRA Issue 2020 Examination Priorities for Broker-Dealers and Investment Advisers

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