SEC's Latest Cybersecurity Exams A Tough Test For Wall St.
By Allison Grande (September 18, 2015, 5:49 PM EDT) -- The U.S. Securities and Exchange Commission on Tuesday forged ahead with its cybersecurity initiative by launching a second round of examinations into brokerage and advisory firms' practices, a step attorneys say is likely to yield more aggressive enforcement from the regulator than firms saw the first time around.
In a risk alert, the agency's Office of Compliance Inspections and Examinations provided an outline of the factors that it will take into consideration during its upcoming second round of cybersecurity examinations of registered broker-dealers and investment advisers.
The OCIE concluded its first round of examinations in February by issuing a report criticizing...
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