We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
Results 1 to 1 of 1
Most popular |Most recent


SEC releases updated cybersecurity examination guidelines

USA - September 18 2015 In 2014, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) conducted Examinations of 57 registered broker-dealers and 49...

Jim Pastore, Kenneth J. Berman, Jeremy Feigelson, Lee A. Schneider, David Sarratt.