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Join the Cybersecurity and Incident Response Group on LinkedInAre You Prepared for the SEC OCIE Cybersecurity Sweep?
In March 2019 the SEC Office of Compliance, Inspections and Examinations (OCIE) announced it would soon commence its annual “Cybersecurity Sweep” (Cyber Sweep) of registered investment advisers and broker-dealers. If these entities were not already focused on cybersecurity, OCIE’s announcement should assure registrants that cybersecurity is not a single frame of a movie, but a […]
The SEC, Cybersecurity, and Registered Investment Advisers: All in the Same Boat Fighting Cybercrime | Insights | Greenberg Traurig LLP
The Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) has recently started to examine the capabilities of domestic organizations to fend off attempted cyberattacks and respond quickly to successful ones to ensure the confidence of investors, limited partners, and public markets in general. Since these attacks can be […]
SEC Expands Cybersecurity Compliance Requirements For 2016 | Password Protected
On January 11, 2016, the Securities and Exchange Commission announced the 2016 examination priorities list. For the third year in a row, cybersecurity is a top concern, especially with regard to internal security program assessment and evaluation. This year the Office of Compliance Inspections and Examinations (OCIE) will focus on cybersecurity protocols implemented by financial […]
OCIE Provides Key Observations from 2014 Cybersecurity Examination Initiative | Compliance Week
In a Risk Alert published yesterday, OCIE provided summary observations from the examinations conducted under its April 2014 Cybersecurity Examination Initiative. The data from 57 registered broker-dealers and 49 registered investment advisers reveals some early findings on industry cybersecurity governance and risk management practices. via OCIE Provides Key Observations from 2014 Cybersecurity Examination Initiative | […]
May 1 Webcast: Cybersecurity and Financial Firms — Bracing for the Regulatory Onslaught
Please join John Stark and Bradley Bondi for this free webcast.
SEC to Launch Cybersecurity Exams of Investment Firms, Offers Sample Document Requests – Compliance Week
On April 15, 2013, the SEC’s Office of Compliance Inspections and Examinations quietly disclosed its examination module pertaining to cybersecurity. The disclosure came in the form of a Risk Alert which noted that OCIE will be conducting examinations of more than 50 registered broker-dealers and registered investment advisers. via SEC to Launch Cybersecurity Exams of […]