Tag: Office of Compliance Inspections and Examinations

This Risk Alert highlights risks associated with the storage of electronic customer records and information by broker dealers and investment ...

This Risk Alert highlights risks associated with the storage of electronic customer records and information by broker dealers and investment ...

The OCIE has observed in recent examinations an increase in the number of cyber-attacks against SEC-registered investment advisers and brokers.

OCIE further encourages registrants to share this information with their third-party service providers, particularly with those that maintain client assets ...