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SEC Details Focus Areas for Next Cyber-Security Exams

Joe Mont | September 21, 2015

The Securities and Exchange Commission will broaden its focus on cyber-security concerns during forthcoming examinations of registered broker-dealers and investment advisers by its Office of Compliance Inspections and Examinations

In April 2014, OCIE announced a series of examinations to identify cyber-security risks and assess preparedness in the securities industry. Building upon the results of those exams, a recently released Risk Alert details expected areas of focus for the second round of cyber-security examinations, which will involve more testing to assess implementation of firm procedures and controls.

Governance and Risk Assessment

Examiners plan to assess whether registrants have...

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