The 2015 Report On the State of Cyber-security

By Guest Author | March 10, 2015

The 2015 Report On the State of Cyber-security SEC staff have been conducting sweep examinations of over a hundred registered investment advisers and broker-dealers to test the preparedness and  practices of these firms against cyber-security attacks. What they found convinced the SEC to issue a Risk Alert through its Office of Compliance Inspections and Examinations (OCIE). The…

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