Tag: data loss prevention

Key Takeaways from 2020 OCIE Exam Priorities

On January 7, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued its exam priorities for 2020 and reiterated its focus on protecting retail investors, particularly seniors and those saving for retirement. Here are some key takeaways from the exam priorities: Retail Investors OCIE will continue to focus on recommendations and advice provided to … Continued

SEC Releases More Cyber Best Practices, Including Surprise Additions

In advance of National Data Privacy Day today, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) has just released a new summary of cybersecurity best practices it has observed over the course of thousands of examinations it has conducted over the past few years. In its Cybersecurity and Resiliency Observations, OCIE … Continued

Recent Privacy Law Changes for Advisers a Focus of Cyber Discussion in Scottsdale

Regulators and legislators certainly have been busy in 2019, leaving little breathing room for financial firms. More data privacy laws are on the horizon, particularly at the state level, with some very real implications for SEC-registered investment advisers. That was the key message from the “Regulatory Update on Privacy Regulations and Cybersecurity” panel during the … Continued


Subscribe to CSS Blog

CSS frequently publishes blog posts which are written by our team from their observations in the field, at conferences and through experiences with compliance professionals. These posts are designed to further knowledge and share industry best practices. Topics run the gamut, including Form ADV, cybersecurity, MiFID II, position limit monitoring, technology challenges and more. Complete and submit the brief form below to receive notifications when we publish new content.

Loading form...

Mailing List

Loading form...