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Cybersecurity › Office of Compliance Inspections and Examinations

Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk... more +
Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk management, global regulations, data protection, leaks, hacking, cyber insurance, compliance, HIPAA, and every other aspect of cybersecurity of import to corporate readers right now.   less -
Miller Canfield

SEC Annual Examination Priorities for RIAs

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Last month, the SEC Division of Examinations (the "Division"; formerly the "Office of Compliance Inspections and Examinations") released its annual Examination Priorities for 2021. RIAs and their Chief Compliance Officers are...more

Burr & Forman

New Emphasis in SEC 2021 Examination Priorities

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The U.S. Securities and Exchange Commission (“SEC”) released its 2021 Examination Priorities on March 3.  The Examinations group – elevated last December to Division status (formerly the Office of Compliance Investigations...more

Skadden, Arps, Slate, Meagher & Flom LLP

Investment Management Retrospective: 2020’s Second Half

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In this issue, we provide a summary retrospective of regulatory, litigation and industry developments impacting the investment management sector during the second half of 2020, including SEC guidance and exemptive orders...more

Kilpatrick

OCIE Issues Second Cybersecurity Risk Alert of Q3-2020

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On September 15, 2020, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a cybersecurity risk alert highlighting the increased use of “credential stuffing” attacks against investment advisers and...more

Kramer Levin Naftalis & Frankel LLP

OCIE Warns of Increased ‘Credential Stuffing’ Cyberattacks on Investment Advisers, Broker-Dealers

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The  Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) has published a risk alert, warning SEC-registered investment advisers, brokers and dealers about the increasing use of...more

Dechert LLP

OCIE Issues Cybersecurity Risk Alert on the Risk of Credential Stuffing Attacks

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The Risk Alert makes clear that OCIE has observed an increase in the frequency of credential stuffing attacks against Registrants, including some successful credential stuffing attacks that resulted in the loss of customer...more

Alston & Bird

SEC Focused on Protecting Customer Accounts from Credential Stuffing Attacks

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OCIE has released a risk alert regarding credential stuffing in the context of compliance with Regulation S-P and Regulation S-ID, and is encouraging firms to both (i) review and update their policies and procedures to...more

Fox Rothschild LLP

The Dark Side Strikes Again: No, Not The SEC, Hackers And Credential Stuffing

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Recently, the Office of Compliance Inspections and Examinations (“OCIE”) released an alert to broker-dealers and registered investment advisers regarding the risks associated with credential stuffing. Credential stuffing...more

Nelson Mullins Riley & Scarborough LLP

Recommendations from the OCIE Regarding COVID-19 Related Compliance Risks and Considerations

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The Office of Compliance Inspections and Examinations (the “OCIE”) of the U.S. Securities and Exchange Commission (the “SEC”) published a risk alert on Aug. 12 titled Select COVID-19 Compliance Risks and Considerations for...more

Akin Gump Strauss Hauer & Feld LLP

SEC Risk Alert Highlights on COVID-19-Related Compliance Risks and Considerations for Investment Advisers and Broker-Dealers

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- The OCIE of the SEC highlights that responses to COVID-19 present important regulatory and compliance issues for SEC registrants, including “heightened risks of misconduct” tied to recent market volatility. - The Risk...more

NAVEX

3 Coronavirus Compliance Tips From the SEC

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The coronavirus crisis is far from over, and compliance professionals still need every scrap of guidance that regulators can provide about how to run compliance programs in these difficult times. So when the Securities and...more

Perkins Coie

OCIE Raises Concerns Regarding Physical and Cyber Security, Supervision, and Business Continuity

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The Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (the SEC) issued a risk alert (the risk alert) on August 12, 2020, highlighting COVID-19 pandemic-related risks and...more

King & Spalding

SEC Examiners Warn of COVID-Related Compliance Risks for Broker-Dealers and Investment Advisers

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The Securities and Exchange Commission (“SEC”) last week published its observations from the first five months operating the SEC’s national examination program during the ongoing COVID-19 pandemic. This is the latest...more

Pillsbury Winthrop Shaw Pittman LLP

Cybersecurity Preparedness and the Growing Importance of Operational Resiliency

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Creation of a new rapid response team signals regulators may turn today’s cyber examination priorities into tomorrow’s enforcement priorities. The Securities and Exchange Commission, New York State Department of Financial...more

Perkins Coie

SEC and FINRA Provide Guidance Regarding Cybersecurity, Artificial Intelligence, and Digital Assets

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The U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) made several regulatory announcements this summer relating to cybersecurity, artificial intelligence (AI), and digital...more

Alston & Bird

The Digital Download – Alston & Bird’s Privacy & Data Security Newsletter – August 2020

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Selected Developments in U.S. Law - SEC Creates Event and Emerging Risk Examination Team - Following the Office of Compliance Inspections and Examinations’ (OCIE) recent and detailed risk alert on the threat of ransomware,...more

Faegre Drinker Biddle & Reath LLP

SEC Warns Industry: Remain Vigilant of Cyberattacks

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Cybersecurity has been a key examination priority for the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) for many years. On July 10, 2020, it issued a risk alert warning of...more

Alston & Bird

SEC Creates Event and Emerging Risk Examination Team

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Following OCIE’s recent and detailed risk alert regarding the threat of ransomware, the SEC announced that it has created the Event and Emerging Risk Examination Team (EERT) as a part of the Office of Compliance Inspections...more

BCLP

SEC Encourages Enhanced Data Security in Wake of Increasingly Sophisticated Ransomware Attacks Following NAIC Brief Encouraging...

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The SEC's Office of Compliance and Examinations (OCIE) issued a risk alert on July 10th about its observation of an apparent increase in sophistication of ransomware attacks on SEC registrants, including broker-dealers,...more

Robinson & Cole LLP

Data Privacy + Cybersecurity Insider - July 2020 #2

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CYBERSECURITY - SEC Issues Warning for Advisors and Broker-Dealers on Increased Ransomware Attacks - On July 10, 2020, the Securities and Exchange Commission (SEC), through its Office of Compliance Inspections and...more

Akin Gump Strauss Hauer & Feld LLP

SEC’s Examination Function Warns Its Registrants of Risks Associated with Dangerous Malware

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- In the age of broad corporate teleworking brought on by COVID-19, OCIE of the SEC has observed during recent examinations that investment advisers, broker-dealers and investment companies are subject to an increased threat...more

Goodwin

Financial Services Weekly Roundup: Gone Phishing – The SEC’s OCIE Addresses Ransomware Attacks

Goodwin on

In This Issue. The Securities and Exchange Commission (SEC) adopted amendments to its exemptive applications procedures under the Investment Company Act of 1940, as amended (the 1940 Act) and proposed to amend Form 13F to...more

Robinson+Cole Data Privacy + Security Insider

SEC Issues Warning for Advisors and Broker-Dealers on Increased Ransomware Attacks

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On July 10, 2020, the Securities and Exchange Commission, through its Office of Compliance Inspections and Examinations (OCIE), issued a warning to advisors and broker-dealers to “immediately” review their cybersecurity...more

Proskauer - The Capital Commitment

Privacy in the Time of Pandemic: COVID-19 Provides Opportunity to Revisit Regulation S-P Privacy Policies

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With more people working remotely than ever before in light of COVID-19, firms in the private equity and hedge fund space should review their Regulation S-P privacy and information-safeguarding policies to ensure they are...more

Morgan Lewis

SEC Examinations and Enforcement in the COVID-19 Era

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Recent announcements from the US Securities and Exchange Commission make it clear that, although it will not be business as usual, the agency will ably navigate the coronavirus (COVID-19) crisis and its work will move...more

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