SECCyber

On February 3, 2015, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert summarizing its findings following examination of the preparedness of 57 broker-dealers and 49 investment advisory firms to address legal, regulatory and compliance challenges related to cybersecurity. These examinations grew out of the SEC’s Cybersecurity Examination Initiative which began last year . . .