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OIG Calls for Improved Oversight of Reg SCI

In a final audit report, the SEC's Office of Inspector General (OIG) identified ways in which the SEC's Office of Compliance Inspections and Examinations ("OCIE") could improve its oversight of entities' compliance with Regulation SCI (Systems Compliance and Integrity) under the OCIE Technology Controls Program.

Regulation SCI is intended to strengthen the technology infrastructure of the U.S. securities markets by requiring the exchanges and other market intermediaries subject to the Regulation to improve the resiliency of their own technology.

Primary Sources

  1. OIG Final Report: TCP Established Method to Effectively Oversee Entity Compliance with Regulation SCI but Could Improve Aspects of Program Management

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Tags

Regulated Activities
Regulatory Oversight Trading Supervision / Compliance Operations
Sub-Activity
Regulation ATS, Regulation SCI
Regulated Entities
Regulatory Agencies Markets
Sub-Entity
Exchanges / Contract Markets
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
SEC