2017 Regulatory Update – Third Quarter

OCIE Cybersecurity Observations

In August, the Securies and Exchange Commission (the “SEC”) Office of Compliance Inspecons and Examinaons (“OCIE”) released a risk alert summarizing observaons from its Cybersecurity 2 Iniave.Pursuant to the iniave, OCIE examined 75 firms, including broker-dealers, investment advisers and investment companies registered with the SEC.

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