The SEC warned RIAs in January that examiners would be looking at cybersecurity preparedness when the Commission announced its examination priorities. The SEC also held a cybersecurity roundtable to analyze the vulnerability of regulated entities such as broker-dealers and RIAs.
In April, the SEC’s Office of Compliance Inspections and Examinations (OCIE) published a National Exam Program Risk Alert warning advisors of the regulator's intent to assess cybersecurity preparedness in the securities industry by conducting examinations of more than fifty RIAs and regional B-Ds.
Register or login for access to this item and much more
All Financial Planning content is archived after seven days.
Community members receive:
- All recent and archived articles
- Conference offers and updates
- A full menu of enewsletter options
- Web seminars, white papers, ebooks
Already have an account? Log In
Don't have an account? Register for Free Unlimited Access