OCIE’s Cybersecurity exams 2016: what you need to know now

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SEC Cybersecurity ExamsWe are all aware that more high-profile cyber attacks are expected, so it is no surprise that the SEC’s Office of Compliance Inspections and Examinations (OCIE) have stated that cybersecurity will continue to be a priority for 2016.

In fact, The OCIE announced that the cybersecurity exams will include more in-depth assessments procedures and control implementations within organizations, but more ...

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SEC Publishes Cybersecurity Exam Results – Infographic

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The Office of Compliance Inspections and Examinations (OCIE) National Examination Program staff, recently examined 57 registered broker-dealers and 49 registered investment advisers to better understand how broker-dealers and advisers address the legal, regulatory, and compliance issues associated with
cybersecurity (the “Cybersecurity Examination Initiative” or the “Initiative”).

In the examinations, the staff collected and analyzed information from the selected firms relating to their practices for: identifying risks related to cybersecurity; establishing cybersecurity governance, including policies, procedures, and oversight processes; protecting firm networks ...

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SEC Could Pressure Companies To Tighten CyberSecurity

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SEC data breach reportingThe Securities and Exchange Commission is advancing measures that would require publicly owned companies to disclose more information about their cybersecurity vulnerabilities, including data breaches.

The requirements could put pressure on companies to tighten their own security, because the SEC rules would let the public know how well firms are securing their private information.

On Tuesday, the White House launched a new ...

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SEC Cybersecurity Exams