News

February 6, 2020 News

SEC SETS BASELINE FOR INVESTMENT MANAGER CYBERSECURITY COMPLIANCE

February 6, 2020.  Building on the results of thousands of field examinations conducted over the past few years, the SEC’s Office of Compliance Investigations and Examinationsformally put investment advisers on notice last week that it expects them to have in place a variety of policies, procedures and practices designed to protect the integrity of the data generated and used in their businesses.

PDF of Client Alert: SEC SETS BASELINE FOR INVESTMENT MANAGER CYBERSECURITY COMPLIANCE