Cybersecurity

IA Watch has obtained OCIE’s phase 2 document request letter of its cybersecurity sweep exam (IA Watch, Sept. 17, 2015). The layout of the document ...

This letter went to a peer in 2016 that went through OCIE's phrase 2 of its cybersecurity sweep.

In a bid to help small firms to establish a cybersecurity program, FINRA released May 23 a cyber checklist that small B-Ds can borrow from ...

If you’re a Windows user, you’ve no doubt seen the recent exhortations by Microsoft to upgrade to Windows 10. Click carefully.   An attendee at ...

Don’t expect the SEC to “micromanage” your approach to cybersecurity. For example, it’s up to you whether you wish to pay for a penetration test. ...

A recently released study from the International Organization of Securities Commissions characterizes cyber risk as a “unique, highly complex and rapidly evolving phenomenon” that requires ...

It seems everyone has someone looking over his shoulder these days making sure information security and cybersecurity programs are locked down – including the SEC. ...

The cybersecurity insurance market continues to develop at a slow, but steady pace. A recent IOSCO report notes that 40% of asset management firms responding to ...

The number of SEC examinations resulting in a referral to the Division of Enforcement has remained fairly constant over the past five years—falling in the ...

OCIE staff is working hard to do more with less by improving our efficiency and maximizing our coverage, influence, and impact on our registrants. It ...