This website uses cookies to improve your experience on the site. By continuing to use this site, you agree to the use of cookies. To learn more about how we use cookies, please see our Cookie Policy.

2017 Regulatory Update - Third Quarter

October 20, 2017
OCIE Cybersecurity Observations

In August, the Securities and Exchange Commission (the “SEC”) Office of Compliance Inspections and Examinations (“OCIE”) released a risk alert summarizing observations from its Cybersecurity 2 Initiative. Pursuant to the initiative, OCIE examined 75 firms, including broker-dealers, investment advisers and investment companies registered with the SEC.

Read More....

Search Davis Graham & Stubbs

Attorneys

Events

Pages

Articles
Search Attorneys & Website