National Exam Program Risk Alert

Observations from cybersecurity examinations

SEC’s OFFICE OF COMPLIANCE INSPECTIONS AND EXAMINATIONS (OCIE)1, 7th AUGUST 2017

This Risk Alert provides a summary of observations from OCIE’s examinations of registered broker-dealers, investment advisers, and investment companies conducted pursuant to the Cybersecurity Examination Initiative announced on September 15, 2015.

I. Introduction
In OCIE’s Cybersecurity 2 Initiative, National Examination Program staff examined 75 firms, including broker-dealers, investment advisers, and investment...

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