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SEC continues focus on cybersecurity issues

USA - October 9 2015 On September 22, 2015, the Securities and Exchange Commission (SEC) issued a press release announcing that it settled charges against an investment...

SEC announces focus areas for second round of cybersecurity exams of broker-dealers and investment advisers

USA - October 5 2015 On September 15, 2015, the Office of Compliance Inspections and Examination (OCIE) of the Securities and Exchange Commission (SEC) published a Risk...