In the Margins

SEC's OCIE finds cybersecurity problems

August 10, 2017

By Bloomberg

Securities and Exchange Commission staffers discovered at least one cybersecurity issue with the “vast majority” of broker-dealers, investment advisers, and funds they examined between September 2015 and June 2016. The problems included cybersecurity procedures and policies that provided only general guidance to employees and didn’t appear to be enforced by firms, the Office of Compliance Inspections and Examinations said in a risk alert. Read the original story from Bloomberg



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