Supplemental Documents/Handouts:Recent SEC Risk Alerts
- SEC's Office of Compliance Inspections and Examinations Risk Alert, "CYBERSECURITY: RANSOMWARE ALERT"(July 10, 2020)
- SEC's Office of Compliance Inspections and Examinations Risk Alert, "Cybersecurity: Safeguarding Client Accounts against Credential Compromise" (September 15, 2020)
Core Compliance Risk Management Update: "How to Prepare for a Cybersecurity Sweep Exam," by Adam Stutz (Compliance Consultant), September 2020
PowerPoint Slide Handout: "Your Firm and the Future: Cybersecurity Considerations for 2020 and Beyond"