Blog Posts April 18, 2019

SEC Issues Risk Alert Noting Common Regulation S-P Compliance Issues

The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) has issued a Risk Alert that provides an overview of the most common deficiencies or weaknesses in investment adviser and broker-dealer compliance with the Safeguards Rule, Regulation S-P, based on recent examinations.  Placed in context with prior OCIE Risk Alerts concerning cybersecurity practices and Regulation S-P […]

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