For those SCI entities that are subject to Reg. SCI compliance, take a look at at this link to OCIE's 2019 Compliance Exam Priorities: https://www.sec.gov/news/press-release/2018-299?utm_source=bambu&utm_medium=social&utm_campaign=advocacy&blaid=31914
In light of the January 2023 ransomware attack on ION Markets' Cleared Derivatives system, John Rapa of Tellefsen and Company and Michael Phillips of VSEC, LLC recently participated on the Fintech Law
Courtesy of Ackerman, LLP: On February 7, 2023, the Securities and Exchange Commission’s Division of Examinations published its 2023 examination priorities. According to the Division, “[t]his year’s