Client Alert

The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations recently issued a Risk Alert providing information on the areas of focus for the SEC staff’s second round of cybersecurity examinations of registered investment advisers and broker-dealers. The examinations will focus on key topics including governance and risk assessment, access rights and controls, data loss prevention, vendor management, training and incident response. To assist firms in assessing their cybersecurity preparedness, the SEC staff included a sample document request in the Risk Alert. The entire Risk Alert is available here.

Related Practices

We have always been focused on finance.

  • 1913
    TS Chapman partners with Henry Cutler to form Chapman and Cutler
  • 1st
    Chapman's first client in 1913 is still a client of the firm today
  • 22
    Diverse financial practices serving regional, national, and global clients
  • 6
    Offices across the country and in key US financial centers

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