Web13 feb. 2024 · SEC OCIE office announces 5 priorities including: retail investors, capital markets, FINRA, cybersecurity, and anti-laundering to promote compliance Web8 feb. 2024 · OCIE will examine the MSRB to evaluate the effeteness of select operational and internal policies, procedures and controls. Cybersecurity A perennial favorite, cybersecurity is again an OCIE priority.
MSRB, Cybersecurity Information Sharing Act (CISA), Alternative …
Web17 sept. 2024 · Financial Industry Regulatory Authority (FINRA) and Municipal Securities Rulemaking Board (MSRB) Cybersecurity. Anti-money laundering programs. It is prudent for individuals, companies, and firms to emphasize strengthening compliance infrastructure, especially in areas of OCIE focus. Though compliance with OCIE’s cybersecurity … WebAs in previous years, the 2024 Exam Priorities contain the broad thematic categories of retail investors, market infrastructure, the activities of the Financial Industry Regulatory Authority ("FINRA") and the Municipal Securities Rulemaking Board ("MSRB"), cybersecurity, and anti-money laundering ("AML") programs. pete townshend climber
MSc Cyber Security University of London Coursera
WebSEC & FINRA Set Exam Priorities; SEC Issues Cybersecurity Tips and FINRA Punishes Firms for UGMA and UTMA Failures: Regulatory Update for February 2024. For … WebFirms must develop and implement adequate controls and procedures for detecting, resolving and preventing these adverse tax consequences to customers. Such procedures must include closing out fails-to-receive within the time frame prescribed within Municipal Securities Rulemaking Board (MSRB) Rule G-12 (h) and confirming that their ... Web13 feb. 2024 · The MSRB can expect OCIE to evaluate the effectiveness of its internal operational policies, procedures and controls. Cybersecurity. OCIE will continue to work with firms in all sectors to identify and manage cybersecurity risks and encourage other market participants to engage in this effort as well. pete townshend concert schedule