ACA's John Jacobs recently contributed an article outlining what firms should know about the SEC's growing interest in the usage of emerging electronic messaging platforms and channels.
OCIE
Insights and guidance from ACA's team of experienced compliance and technology professionals.
Is your firm prepared for the SEC's new cyber focus areas for 2019? Find out what your firm needs to know, and what you can do to prepare.
On December 14, 2018, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a Risk Alert outlining observations and recommendations gleaned by the staff from a limited examination sweep focused on firm and employee use of electronic communications. This article outlines what you need to know.
On November 9, 2015, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a National Exam Program Risk Alert regarding advisers and funds that have retained an unaffiliated third party such as a consultant, contractor, or lawyer to serve as their outsource
Cybersecurity has been a top focus area for the U.S. Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) for the past several years.
The U.S.
On November 9, 2015, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a National Exam Program Risk Alert regarding advisers and funds that have retained an unaffiliated third party such as a consultant, contractor, or lawyer to serve as their outsource
On September 15, the SEC’s Office of Compliance Inspections and Examinations (OCIE) published a Risk Alert on the office’s 2015 Cybersecurity Examination Initiative.