SEC Releases 2017 Examination Priorities

The SEC’s Office of Compliance and Examinations (“OCIE”) released its Examination Priorities for 2017 with a focus on “certain practices, products, and services that OCIE perceives to present potentially heightened risk to investors and/or the integrity of the U.S. capital markets.”

CyberINsecurity: What You Don’t Know Can Hurt You

CyberINsecurity: What You Don’t Know Can Hurt You Learning the Lingo: Understanding Basic Cybersecurity Concepts That Regulators Expect Your Firm to Address. Evaluating Cybersecurity Risk – Digging Beneath the Surface. The Importance of Monitoring Your Network and Your Data. Tips … Read more

The Cybersecurity Sweep Exam Results and What It Means for Compliance

In this ComplianceCasts Minute, Ascendant consultants Jackie Hallihan and Eugenie Warner discuss the results of the SEC’s Cybersecurity Sweep Exam. Covering how firms identify cybersecurity risks, establish cybersecurity policies, procedures and oversight processes and more, the cybersecurity sweep is just … Read more

Pressures and Changes Around SEC Examinations

Since the Madoff Ponzi scheme unraveled, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) has been under the microscope. Wide criticism has been leveled about how the SEC has selected advisers for examination and how the SEC conducts examinations of investment advisers. The SEC’s … Read more