Insights & Publications
Diversity & Inclusion
© 2022 Debevoise & Plimpton LLP
SEC Releases Observations from Cybersecurity Examinations
14 August 2017
View Client Update
On August 7, 2017, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a Risk Alert announcing observations from its second round of cybersecurity examinations of registered broker-dealers, investment advisers, and investment companies.
The observations were based on OCIE’s examinations of 75 firms since September 2015, pursuant to its “Cybersecurity 2 Initiative.”
In general, the staff observed increased cybersecurity preparedness since its first cybersecurity initiative in 2014, but also observed areas where compliance and oversight could be improved.
Data Strategy & Security
White Collar & Regulatory Defense
Private Equity Firms and Funds
Kenneth J. Berman
UK Modern Slavery Act Transparency Statement
Debevoise Login (2)
Debevoise Women's Review