Securities and Exchange Commission

Insights and guidance from ACA's team of experienced compliance and technology professionals.

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SEC’s OCIE Issues Risk Alert on Data Storage Security
May 28, 2019

On May 23, the U.S. Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert regarding the security associated with cloud and network data storage solutions.

SEC Conducting Cyber Compliance Examination Sweep of Registered Investment Advisers (RIAs)
May 22, 2019

The U.S. Securities and Exchange Commission (SEC) has commenced a series of cybersecurity examinations on registered investment advisers (RIAs) which targets Form ADV data related to cloud service providers.