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The SEC, preparing for its second round of cyber-related exams, released a set of questions for advisors and broker-dealers to determine how they are prepared in relation to cybersecurity.
The SEC, preparing for its second round of cyber-related exams,
released a set of questions for advisors and broker-dealers to
determine how they are prepared in relation to cybersecurity. The
Office of Compliance Inspections and Examinations issued its Risk Alert to provide additional information
on the areas of focus for the exams. The exams will mostly take
place in fiscal year 2016.
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