Close

Are you in compliance?

Don't miss out! Sign up today for our weekly newsletters and stay abreast of important GRC-related information and news.

×

Status message

Start your free, no obligation 10-day trial to continue exploring with full access.

Some key cyber-security tips for financial firms

John Reed Stark | January 31, 2017

The SEC has expanded considerably its efforts relating to cyber-security, beefing up its regulatory examinations with targeted sweeps for cyber-security, as well as maintaining an active cyber-security enforcement program.

The SEC began its cyber-security initiative in April 2014, announcing its first cyber-security sweep of brokerage and investment advisory examinations in an SEC Risk Alert, which also published its so-called ... To get the full story, subscribe now.