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SEC OCIE Risk Alert | Observations from Cybersecurity Examinations August 2017

August 9, 2017
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On August 7th, 2017, the Office of Compliance Inspections and Examinations (“OCIE”) released its observations from its Cybersecurity 2 Initiative. The staff examined  75 firms consisting of broker-dealers, investment advisers, and investment companies (“funds”) in order to assess industry practices and legal and compliance issues […]

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