The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) staff has compiled observations from its thousands of examinations of broker-dealers, investment advisers, clearing agencies, national securities exchange, and other SEC registrants and shared some best practices for … Read More
Senior retail investors and cybersecurity. The only thing they have in common is their presence on the list of examination priorities this year for the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE). The priorities are published … Read More
Lead Sr. Compliance Consultant Tina Mitchell joins us to discuss the SEC’s examination priority areas for advisers and broker-dealers in 2020 on Episode 65 of the CCO Buzz.
On episode 63 of the CCO Buzz, we discuss the importance of cybersecurity training for employees as we begin the new year.
On October 11, 2019, the Securities and Exchange Commission announced it had filed an emergency action against two offshore entities for conducting an alleged unregistered and ongoing digital token offering in the U.S. and overseas that has raised more than … Read More
On Episode 59, we summarize our year end compliance checklist to help ensure all applicable compliance filings and reviews get completed.
As 2020 looms on the horizon, Chief Compliance Officers (“CCOs”) should begin laying out their compliance roadmaps for the New Year. An area of review that should undoubtedly be a part of CCOs’ 2020 planning is cybersecurity. Cybersecurity remained at … Read More
September 24, 2019 | RightSize Solutions
On episode 53 we discuss a key component of a firm’s annual review – Cybersecurity Testing.
Firms registered with the Securities and Exchange Commission (“SEC”) are mandated by Rule 206(4)-7 (“Compliance Rule”) to perform an annual review of their policies and procedures, and a key component of a firm’s annual review should include cybersecurity testing. Cybersecurity … Read More