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News September 21, 2015 Issue

OCIE Reveals Cybersecurity Exam Focus, Issues Sample Information Request List

Governance and risk assessment, access rights and controls, data loss prevention, vendor management, training, and incident response. These are the areas that the SECís Office of Compliance Inspections and Examinations will focus on during its exams of advisers and broker-dealers this year, OCIE said in a new risk alert.

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