Compliance Newsflash – January 9, 2019

January 9, 2019

DLA is committed to keeping our clients and friends updated on relevant news and topics in the industry by distributing a weekly Compliance Newsflash. We hope this provides you with helpful and insightful information for you and your firm! Join our mailing list by clicking here: DLA Newsflash Registration.

FINRA Publishes Report on Selected Cybersecurity Practices – 2018

On December 20th, 2018, FINRA published its Report on Selected Cybersecurity Practices – 2018, a detailed review of effective information-security controls at securities firms. The report represents the newest initiative in FINRA’s ongoing effort to help broker-dealers – including small firms – further develop their cybersecurity programs.

For more information, click here.

SEC Office of Compliance Inspections and Examinations Announces 2019 Examination Priorities

On December 20th, 2018, the SEC announced its 2019 examination priorities. OCIE publishes its exam priorities annually to promote transparency of its examination program and provide insights into the areas it believes present potentially heightened risk to investors or the integrity of the U.S. capital markets. This year, particular emphasis will be on digital assets, cybersecurity, and matters of importance to retail investors, including fees, expenses, and conflicts of interest.   

For more information, click here.