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SEC Cybersecurity exams

The SEC Has Published A Cybersecurity Preparedness Guide

Will You Pass The Audit?

As reports of cyber breaches continue to arise, the government and regulatory agencies increasingly focus attention on the risks related to cybersecurity. The Securities and Exchange Commission (SEC) has been asked to elevate its Division of Corporate Finance’s current Cybersecurity Disclosure Guidance. Moreover, SEC Chair Mary Jo White has further requested the SEC Staff to brief her on current disclosure practices and provide any recommendations it has regarding further action in this area, leaving the door open to additional action steps by the SEC.

Recently the SEC began conducting cybersecurity audits of financial institutions. If you’re an investment advisor or broker dealer, the time is rapidly approaching when you’ll be subjected to an SEC cybersecurity readiness audit. What have you done to prepare yourself?

The SEC Audit Examinations are designed to assess cybersecurity preparedness in the securities industry and to obtain information about the industry’s recent experiences with certain types of cyber threats. These examinations will focus on:

    blue arrowYour cybersecurity governance
    blue arrowIdentification and assessment of cybersecurity risks
    blue arrowProtection of networks and information
    blue arrowRisks associated with remote client access and funds transfer requests
    blue arrowRisks associated with vendors and other third parties
    blue arrowDetection of unauthorized activity
    blue arrowExperiences with certain cybersecurity threats

To determine if you're ready to pass the test, either give us a call, fill out a questionnaire or download the sample exam below and see how ready you really are for your upcoming audit.


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SEC Cybersecurity Exams