SEC Staff to Conduct Broker-Dealer and Investment Adviser Examinations Focused on Cybersecurity
By EsqSocial Corporation 22/04/14
The Securities and Exchange Commission’s (the “SEC” or the “Commission”) Office of Compliance Inspections and Examinations (“OCIE”) announced in an April 15, 2014 Risk Alert (the “Alert”) that it will be conducting examinations of more than 50...
By: Dechert LLP