Daily Archives: April 18, 2014, 6:11 pm

SEC to Launch Cybersecurity Exams of Investment Firms, Offers Sample Document Requests – Compliance Week

On April 15, 2013, the SEC’s Office of Compliance Inspections and Examinations quietly disclosed its examination module pertaining to cybersecurity. The disclosure came in the form of a Risk Alert which noted that OCIE will be conducting examinations of more than 50 registered broker-dealers and registered investment advisers. via SEC to Launch Cybersecurity Exams of Investment Firms, Offers Sample Document…

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Four gov’t agencies now investigating high-speed “Insider Trading 2.0” — Ars Technica

The revaluation of the subpoenas from Eric Schneiderman’s office, first reported by the Wall Street Journal, brings to at least four the number of agencies probing what the New York Attorney general has described as “Insider Trading 2.0.” Other entities investigating whether Wall Street firms are taking advantage of “differences in delays, or latencies, of trade information distributed between trading…

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