Latest Risk Alert Risk Alerts from the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) are generally a big deal, identifying problems the examination staff have identified in their examinations of registered entities. The latest Risk Alert, “Safeguarding Customer Records … Read More ›
On May 23, 2019 a fact sheet was released to help raise awareness on the immunity provisions of the Senior Safe Act which was passed one-year ago. The Act protects “covered financial institutions” defined as credit unions, depository institutions, investment … Read More ›
Office of Compliance Inspections and Examinations (“OCIE”) On May 23, 2019 OCIE released a risk alert based on identified security risks associated with the storage of electronic customer records in various network storage solutions, including those leveraging cloud-based storage. The … Read More ›