Cybersecurity Alert – OCIE – Safeguarding Customer Records and Information in Network Storage – Use of Third Party Security Features

Alert On May 23, 2019, the Office of Compliance Inspections and Examinations (“OCIE”) issued the alert “Safeguarding Customer Records and Information in Network Storage – Use of Third Party Security Features”. In this alert the OCIE ‘identified security risks associated with the storage of electronic customer records and information by broker-dealers and investment advisers in […]

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