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SEC Releases Updated Cybersecurity Examination Guidelines
18 September 2015
View Client Update
Continuing its focus on cybersecurity, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a Risk Alert this week announcing that it will conduct a second round of examinations of registered broker-dealers and investment advisors to assess their cybersecurity procedures and controls.
OCIE included an updated, more specific sample document request with the Risk Alert, which provides a roadmap for firms to assess and improve their own cybersecurity posture.
SEC registrants would benefit from reviewing the sample document request and promptly addressing any gaps relative to the SEC’s expectations.
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Kenneth J. Berman
David A. O'Neil
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