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The SEC's cybersecurity punch list
The SEC kicked off 2018 with an enforcement action against a municipal advisor. Bloomberg News
The SEC has made no secret it expects advisors and brokers to ramp up their policies and procedures to guard against cyberattacks. Now, after a second wave of examinations focusing on firms' defenses, the commission's Office of Compliance Inspections and Examinations has produced a risk alert detailing the do's and don'ts for firms.
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