See why ACA Insight is the leading newsletter on regulatory compliance. Sign up for a free 1-week trial.

The weekly news source for investment management legal and compliance professionals

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.

Full contents of this article are only available to paid subscribers.

Subscribe to ACA Insight

Subscribe to ACA Insight and receive a time-limited $200 discount! Subscribers receive: 46 electronic issues conveniently e-mailed to your desktops each Friday; access to archives of past stories; and breaking news e-mails.

Subscribe today to the weekly news source for investment management and legal compliance professionals.

Subscriber Log In

Forgot your password? Click Here.