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Investment Funds Vulnerability Assessments

Carlton Fields

OCIE Lessons From Cybersecurity 2 Initiative

Carlton Fields on

On August 7, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a risk alert containing observations from its Cybersecurity 2 Exam Initiative. As a follow-up to the 2014 Cybersecurity 1 initiative, the...more

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