- Topics
- Regions
- Events
- Webcasts
- Resources
- CW Exclusives
- Membership
“For tracking litigation, enforcement, and regulatory developments, Compliance Week
should be your prime source.”- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
SEC Exams Reveal Mixed Bag of Financial Firms' Cyber-Security Efforts
Last year, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations examined 106 broker-dealers and investment advisers in an effort to better understand how they address the legal, regulatory, and compliance issues associated with cyber-security. An OCIE risk alert released this week breaks down the findings of the ...
THIS IS MEMBERS-ONLY CONTENT
You are not logged in and do not have access to members-only content.
If you are already a registered user or a member, SIGN IN now.
Related articles
-
Article
Why Boilerplate Battles Continue to Rage
Image: Again and again, with both guidance and comment letters, the SEC has urged companies to avoid using “boilerplate” language in disclosures—and companies never seem to embrace the message. “There is an extraordinary amount of boilerplate disclosure across topics and across industries,” says Jean Rogers, head of the Sustainability Accounting ...
-
PremiumAsk a CCO: What’s your strategy for preventing and detecting data breaches?
Five senior compliance practitioners outline their strategies for protecting their firms from data breaches.
-
PremiumAsk a CCO: How is your company reacting to cyber-risks introduced by COVID-19?
Five senior compliance practitioners tell Compliance Week how their organizations are reacting to new cyber-threats introduced by the pandemic.