Tag Archives: OCIE

SEC and FINRA Signal Renewed Focus on Vendor Management in Two Key Areas: Cybersecurity and Market Access Rule Compliance

The Securities and Exchange Commission (“SEC”) and Financial Industry Regulatory Authority (“FINRA”) recently issued guidance in connection with firms’ relationships with third-party service providers.  These publications serve as a reminder that while vendors often provide services away from the firm, the firm nonetheless maintains responsibility to ensure customer data is handled appropriately and all activity … Continue Reading

The SEC’s 2020 Examination Priorities

On January 7, 2020, the Securities and Exchange Commission (“SEC”) released its 2020 examination priorities, an annual report by the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) meant to apprise the public of the SEC’s activities and enforcement agenda based on potentially high-risk areas for investors and U.S. markets. The issues in this year’s … Continue Reading
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