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Browse: Home / 2014 / May / 13 / SEC Cybersecurity Initiative: Five Steps ALL Broker-Dealers and Investment Advisers Should be Taking — Privacy & Security Matters

SEC Cybersecurity Initiative: Five Steps ALL Broker-Dealers and Investment Advisers Should be Taking — Privacy & Security Matters

By Securities Docket on May 13, 2014, 10:50 am

Last week, the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) released a Risk Alert announcing its Cybersecurity Initiative.    What does this mean to broker-dealers and investment advisers and, even if you are not one of the “chosen 50,” what should your firm be doing?

via SEC Cybersecurity Initiative: Five Steps ALL Broker-Dealers and Investment Advisers Should be Taking — Privacy & Security Matters.

Posted in SEC, Top | Tagged Cybersecurity, OCIE

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