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 Exam Chief Plans Cybersecurity Guidance For Advisors

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SEC Cybersecurity exams

Securities and Exchange Commission Office of Compliance Inspections and Examinations Director Drew Bowden said Wednesday he hopes to publish cybersecurity guidance for financial advisors this year.Rather than provide a list of best practices or rules, the guidance will offer a report on how prepared the financial services industry is on cybersecurity so advisors can compare it to what they are doing, the OCIE chief said.

He noted OCIE has ...

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SEC Provides Guidance on CyberSecurity Exams

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SEC Cybersecurity ExamsIn an April 15, 2014 Risk Alert, the U.S. Securities and Exchange Commission’s Office of Compliance Inspection and Examinations (OCIE) announced that it would conduct examinations of more than 50 registered broker-dealers and registered investment advisers, focusing on areas related to cybersecurity.

The OCIE Alert includes a sample request for information and documents that will be used in the initiative. This sample ...

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SEC Cybersecurity Exams