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The SEC’s Office of Compliance Inspections and Examinations has found cybersecurity and privacy deficiencies among trading firms and has issued a risk alert.
Staff members of the Office of Compliance Inspections and Examinations (OCIE) have identified cybersecurity and privacy control deficiencies among securities trading firms registered with the SEC and have issued a risk alert that reminds advisers and broker-dealers of their obligations. “In response to these observations, many of the registrants modified their written policies and procedures...
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