2017 Regulatory Update - Third Quarter
OCIE Cybersecurity Observations
In August, the Securities and Exchange Commission (the “SEC”) Office of Compliance Inspections and Examinations (“OCIE”) released a risk alert summarizing observations from its Cybersecurity 2 Initiative. Pursuant to the initiative, OCIE examined 75 firms, including broker-dealers, investment advisers and investment companies registered with the SEC.
About Davis Graham & Stubbs LLP
Davis Graham & Stubbs LLP, one of the Rocky Mountain region’s preeminent law firms, serves clients nationally and internationally, with a strong focus on corporate finance and governance, mergers and acquisitions, natural resources, environmental law, real estate, and complex litigation. Our lawyers have extensive experience working with companies in the energy, mining, technology, hospitality, private equity, manufacturing, asset management, and aviation industries. As the exclusive member firm in Colorado for Lex Mundi, the world’s leading network of independent law firms, DGS has access to in-depth experience in 100+ countries worldwide.