On January 13, 2015, the Securities and Exchange Commission ("SEC") Office of Compliance Inspections and Examinations ("OCIE") announced its examination priorities, which reflect the practices and products the OCIE perceives to present potentially heightened risks to investors or markets. As discussed in its examination priorities, the OCIE will continue to examine broker-dealers and investment advisers' cybersecurity compliance and will also expand the initiative to include transfer agents.
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