We use cookies to deliver our online services. Details of the cookies we use and instructions on how to disable them are set out in our Cookies Policy. By using this website you agree to our use of cookies. To close this message click close.

Anti-Money Laundering and Cybersecurity Among the 2017 SEC Examination Priorities

30 January 2017

AML and Cybersecurity Alert

Earlier this month, the Securities and Exchange Commission (SEC) announced its Office of Compliance Inspections and Examinations’ (OCIE) 2017 Examination Priorities regarding certain practices, products, and services that OCIE believes to present potentially heightened risk to investors and/or the integrity of U.S. markets. Two priorities on the list that SEC-regulated firms may want to pay close attention to are anti-money laundering (AML) and cybersecurity.

Read more for a brief overview of these important issues.

Contacts

Loading data