Episode 96: How The 2022 SEC Exam Priorities will Affect Your Firm
On episode 96 of the CCO Buzz podcast, Tina Mitchell, Managing Director of Consultation Services, discusses the 2022 SEC Exam Priorities.
CRS | Cybersecurity | Investment Adviser | Risk Management Updates (RMU) | Securities and Exchange Commission (SEC)
SEC 2022 Exam Priorities – Learn How They Will Affect Your Compliance Program
The release of the exam priorities report[1] was later this year than in prior years but appears to be worth the wait. In this year’s report, the Securities and Exchange Commission (“SEC”) outlines, among others, five “significant” areas of focus. … Read More
Winner and Finalists Announcement: 2022 CCO of the Year Award
In partnership with Starkweather & Shepley, Core Compliance is excited to announce the selection of the 2022 CCO Of the Year Awards! We received numerous nominations on behalf of effective CCOs and their firms. After careful review, interviews, and discussions … Read More
Understanding the SEC’s Proposed Cybersecurity Risk Management Rules: Disclosure of Cybersecurity Risks and Incidents & Recordkeeping (Part 4)
In this four-part blog post series, we’ve been discussing proactive steps to the proposed changes to cybersecurity regulations announced by the U.S. Securities and Exchange Commission (SEC).
Understanding the SEC’s Proposed Cybersecurity Risk Management Rules: Reporting of Significant Cybersecurity Incidents (Part 3)
So far in this blog post series we’ve covered the understanding of the proposed rules and how to start implementing within your firm. When it comes the proposed cybersecurity regulations announced by the U.S. Securities and Exchange Commission (SEC), we … Read More
Understanding the SEC’s Proposed Cybersecurity Risk Management Rules: Where to Start (Part 2)
With the alarming increase in ransomware, cryptojacking, phishing and other related cyberattacks, the Securities and Exchange Commission (SEC) proposed new rules are designed to enhance cybersecurity preparedness to maintain orderly markets and protecting investors against cyber fraud. The proposed rule … Read More
Understanding the SEC’s Proposed Cybersecurity Risk Management Rules: Unpacking the Changes (Part 1)
In early February 2022, the U.S. Securities and Exchange Commission (SEC) voted on the proposal of rules regarding cybersecurity risk management for the industry, specifically for registered investment advisers, and registered investment companies and business development companies (funds).
The Cybersecurity Evergreen: How Regulators Are Growing Their Focus on Cyberthreats and Protections
Today’s securities markets operate in a complex and seemingly instantaneous environment accelerated by the exponential growth of computing power and interconnectivity. This evolving market space has provided enormous opportunities for investors and investment professionals alike. The same can also be … Read More
Nine Preventative Measures to Increase Cybersecurity Protections
On January 24, 2022, Chairperson Gary Gensler said the Securities and Exchange Commission (SEC) might extend regulatory responsibility for cyber-risk management by requiring third-party providers to have adequate safeguards in place to protect investors and ensure key services for them … Read More
Episode 95: How Regulators Are Growing Their Focus on Cybersecurity
On episode 95 of the CCO Buzz podcast, we discuss the growing focus of regulators on cybersecurity!