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News August 14, 2017 Issue

OCIE Finds Increased Cybersecurity But Wants More

The SECís Office of Compliance Inspections and Evaluations on August 7 made public its observations from its most recent round of cybersecurity exams Ė and what it found is encouraging only to a point. The message delivered by OCIE in its National Exam Program risk alert was this: Advisory firms, broker-dealers and investment companies have made strides in providing cybersecurity, but there is still a long way to go.

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