• OCIE Risk Alert on Cybersecurity: SEC’s Office of Compliance Inspections and Examinations Announces Findings from its Cybersecurity Examination Initiative
  • March 27, 2015 | Authors: Jay Clayton; John Evangelakos; Scott D. Miller; Nader A. Mousavi; Frederick Wertheim
  • Law Firm: Sullivan & Cromwell LLP - New York Office
  • On February 3, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a Risk Alert summarizing findings from its Cybersecurity Examination Initiative relating to broker-dealers and investment advisers, which was announced in April 2014. A copy of the Risk Alert is attached as Annex A.