examinations

The SEC’s Most Recent Cybersecurity Guidance

Many businesses have made great progress with their cybersecurity programs, however, social engineering attacks, such as phishing, remain the most common method of attack, accounting for 90% or more of targeted external attacks. Ransomware, other forms of malware (including malware that targets mobile and IoT devices), and other forms of remote exploitation, continue to increase…

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SEC Releases Cybersecurity Exam Findings: More Compliance Suggestions for Hedge Funds’

The SEC has released observations from its Cybersecurity 2 Initiative (as a follow-up to its 2015 OCIE exam initiative). National Examination Program staff examined 75 firms, including broker-dealers, investment advisers, and investment companies (“funds”) registered with the SEC to assess industry practices and legal and compliance issues associated with cybersecurity preparedness. “The examinations focused on firms’…

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Building a Culture of Compliance

The financial industry, particularly hedge funds, are feeling the burden of compliance.The OCIE has also added cybersecurity to its priorities, and announced a plan to examine firms’ policies and procedures to protect their data from loss or theft by hackers. Regulation is the reality and so are examinations. A sound technology infrastructure is virtually imperative in…

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SEC Announces Examination Priorities for 2016

On January 11, 2016, the staff of the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) released its annual announcement on examination priorities for the coming calendar year. While the announcement contains broad and general descriptions of areas in which the staff intends to focus, there are several key points to…

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