Category

SEC

17 September 2015

SEC’s OCIE Cybersecurity Risk Alert Announces Cybersecurity Examination Initiative

On September 15, 2015, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert announcing a new Cybersecurity Examination Initiative. The Alert provides the agency’s areas of focus for its next round of cybersecurity examinations of broker-dealers and investment advisers.

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26 May 2015

Identifying the Standards: DOJ, SEC and FTC Offer Guidance for Cybersecurity Preparedness

Although a frequent topic of discussion on Capitol Hill, no single standard for private-sector cybersecurity programs has yet to emerge. The National Institute of Standards and Technology (NIST) Cybersecurity Framework is often considered foremost among existing guidance, but several other agencies are also expressing views, including the following recent guidance … Read More

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