Eversheds Sutherland Cybersecurity and Privacy Insights Blog
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SEC Releases Results of 2014 Cybersecurity Exam Sweep

On February 3, the Securities and Exchange Commission (SEC) issued a Risk Alert prepared by its Office of Compliance Inspections and Examinations (OCIE) that summarizes the results of a sweep of more than 100 broker-dealers and investment advisers that OCIE undertook in 2014 in order to assess the level of cybersecurity preparedness of the examined firms. A list of questions that OCIE...