SEC and FINRA Issue 2020 Examination Priorities (Including Cybersecurity) for Broker-Dealers and Investment Advisers
Data Matters
JANUARY 24, 2020
Information Security . decrease from FY 2018, OCIE attributes the relatively small decrease to the month long suspension of examinations during the 2019 government shutdown. 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.
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