Tom Bohac

Troutman Pepper Locke

+ Follow Contact

Latest Posts › Cybersecurity

Share:

SEC Office of Compliance Inspections and Examinations Release National Exam Program Examination Priorities for 2019

On December 20, 2018, the Office of Compliance Inspections and Examinations (“OCIE”) of the Securities and Exchange Commission (“SEC”) issued its 2019 examination priorities letter. OCIE releases examination priorities...more

1/30/2019 / Cybersecurity , Disclosure Requirements , Financial Industry Regulatory Authority (FINRA) , Investment Adviser , MSRB , OCIE , Popular , Retail Investors , SEC Examination Priorities , Securities and Exchange Commission (SEC)

SEC Opens Registration for National Compliance Outreach Seminar Following the Release of the SEC Office of Compliance Inspections...

On Tuesday, February 13, 2018 the Securities and Exchange Commission (“SEC”) announced the opening of registration for its compliance outreach program’s national seminar for investment companies and investment advisers, which...more

2/14/2018 / Anti-Money Laundering , Cybersecurity , Financial Industry Regulatory Authority (FINRA) , Investment Adviser , OCIE , Retail Investors , SEC Examination Priorities , Securities and Exchange Commission (SEC)

New Round of SEC Cybersecurity Examinations of Financial Service Firms and Their Cyber Controls

The Office of Compliance Inspections and Examinations (the OCIE) has just published a new Risk Alert on cyber risks and precautions identifying specific areas it will be focusing on during the second round of examinations of...more

9/23/2015 / Corporate Governance , Cybersecurity , Data Protection , Industry Examinations , OCIE , Risk Alert , Securities and Exchange Commission (SEC) , Security and Privacy Controls , Training , Vendors

3 Results

View per page

Page: of 1