Safeguarding Client Accounts against Credential Compromise
The OCIE has observed in recent examinations an increase in the number of cyber-attacks against SEC-registered investment advisers and brokers.
Tag: Investors Documents
Private Equity and Cybersecurity: Threats, Consequences, and the Regulatory Framework
We will elaborate on both the steps to take to guard against a breach and how to effectively respond to ...
Cybersecurity: Ransomware Alert
OCIE further encourages registrants to share this information with their third-party service providers, particularly with those that maintain client assets ...
Commission Statement and Guidance on Public Company Cybersecurity Disclosures
The Securities and Exchange Commission (the “Commission”) is publishing interpretive guidance to assist public companies in preparing disclosures about cybersecurity ...
The State of Cyber-Risk Disclosures of Public Companies
The U.S. Securities and Exchange Commission (the “SEC,” or the “Commission”) has in recent years demanded greater transparency from public ...
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