By Kristina Neff Burland

On April 16, the Securities and Exchange Commission (SEC)’s Office of Compliance Inspections and Examinations (OCIE) released a new Risk Alert that identifies common compliance issues facing investment advisers and broker-dealers with respect to the privacy notice and safeguard policy requirements of Regulation S-P. The Risk Alert aggregates common compliance issues

The Security and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) recently released an initial summary of its findings from its 2014 OCIE Cybersecurity Initiative.  The OCIE examined 57 registered broker-dealers and 49 registered investment advisers to better understand how broker-dealers and advisers address the legal, regulatory, and compliance issues associated with cybersecurity.