Financial Services Weekly Roundup: Gone Phishing – The SEC’s OCIE Addresses Ransomware Attacks
By EsqSocial Corporation 16/07/20
In This Issue. The Securities and Exchange Commission (SEC) adopted amendments to its exemptive applications procedures under the Investment Company Act of 1940, as amended (the 1940 Act) and proposed to amend Form 13F to update the reporting threshold for institutional investment managers and make other targeted changes; the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert setting forth its observations of measures used by registrants to address ransomware...<BR />By: <a href="https://www.jdsupra.com/profile/Goodwin/">Goodwin</a>