Episode 53: Cybersecurity Testing
On episode 53 we discuss a key component of a firm’s annual review – Cybersecurity Testing.
Cybersecurity Testing as Part of the Annual Review
Firms registered with the Securities and Exchange Commission (“SEC”) are mandated by Rule 206(4)-7 (“Compliance Rule”) to perform an annual review of their policies and procedures, and a key component of a firm’s annual review should include cybersecurity testing. Cybersecurity … Read More
2019 Annual Shareholders Service Group Conference
April 25, 2019 | Speaker: Michelle L. Jacko, CSCP
UPDATE: 2016 EDGAR Hacking Case – SEC Brings Charges
Even powerful entities like the U.S. government’s Securities and Exchange Commission (SEC) and major news agencies are not impervious to cyberattacks, despite the significant resources they dedicate to defending the valuable information they are responsible for.
Data Leak at the Oklahoma Securities Commission: The Importance of Information Security
Almost every organization that is responsible for storing sensitive data, including private-sector corporations, investment firms, and government agencies, understands that effective cybersecurity plays an important role in shielding individuals’ personally identifiable information (“PII”) from digital attacks of constantly increasing sophistication.
Updating Your Cybersecurity Policy: NFA Releases Interpretive Notice 9070
Our ever-increasing reliance on electronic devices and information technology to do business, combined with the constantly evolving methods used to electronically attack our firms and our clients, has elevated information security (cybersecurity) into a position of great importance.
FINRA Releases Report on Effective Industry Cybersecurity Practices
Cybersecurity is regularly identified as one of the top concerns facing the financial industry as a whole.
Episode 33: Risk Alert – Electronic Communications
On episode 33 of the CCO Buzz we discuss the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (“OCIE”) recent published National Exam Program Risk Alert titled, ” Observations from Investment Adviser Examination Relating to Electronic Messaging.”
CCO Buzz Podcast | Cybersecurity | Regulatory Examinations | Securities and Exchange Commission (SEC)
Episode 31: 2019 SEC OCIE Exam Priorities (Part 1)
In this CCO Buzz we discuss the newly released 2019 SEC Exam Priorities, as part of a two part series.