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Clifford Chance

Clifford Chance


OCIE Risk Alert Highlights Key Regulation S-P Requirements for SEC Registered Entities

7 May 2019

Last month, the US Securities & Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) released a risk alert highlighting the most common privacy-related issues that OCIE staff have observed in recent examinations of investment advisers and broker-dealers.  Coupled with the recently-publicized cybersecurity sweep, the risk alert is a timely reminder of the importance of instituting strong policies and procedures—and customer disclosures—that satisfy Regulation S-P, particularly those requirements highlighted by OCIE.


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