SEC and FINRA Exam Priorities
Posted on Feb 3, 2015 in Uncategorized | Comments Off on SEC and FINRA Exam Priorities
In their recent examination priorities letters, both the SEC and FINRA highlighted cybersecurity as an area of focus for 2015 exams. In the SEC letter, the Office of Compliance Inspections and Examinations (OCIE) explained that it will continue its 2014 initiative to examine broker-dealers’ and investment advisers’ cybersecurity compliance and controls, and also plans to expand the...
Senate Holds Cybersecurity Information Sharing Hearing
Posted on Jan 29, 2015 in Government | Comments Off on Senate Holds Cybersecurity Information Sharing Hearing
On January 28, 2015, cybersecurity information sharing was the focus of the Senate Committee on Homeland Security and Governmental Affairs’ first hearing in the 114th Congress. In the wake of high-profile cyber attacks on Sony, Target, and JPMorgan, the testifying industry executives and security experts urged Congress to pass an information sharing bill that will better detect and...
Cybersecurity Announced as a 2015 Exam Priority by the SEC and FINRA
Posted on Jan 23, 2015 in Uncategorized | Comments Off on Cybersecurity Announced as a 2015 Exam Priority by the SEC and FINRA
In January 2015, the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) each announced their 2015 examination priorities, and both agencies emphasized cybersecurity as a primary exam focus (SEC Examination Priorities, FINRA Examination Priorities). The SEC has designated cybersecurity as a market-wide risk in its examination priorities...
DOE Issues Voluntary Cybersecurity Guidelines
Posted on Jan 9, 2015 in Energy and Infrastructure, Government | Comments Off on DOE Issues Voluntary Cybersecurity Guidelines
Utilities, as well as third-party contractors and vendors, should take notice of government-led initiatives pertaining to the smart grid and related cybersecurity matters. The U.S. Department of Energy (DOE) has issued a proposed Voluntary Code of Conduct (VCC) that provides smart-grid cybersecurity guidance and addresses privacy in the use of data collected by advanced metering...
Federal Cybersecurity Legislation Signed into Law
Posted on Dec 23, 2014 in Government | Comments Off on Federal Cybersecurity Legislation Signed into Law
New cybersecurity legislation provides for cybersecurity information sharing and codifies the process for the National Institute of Standards and Technology (NIST) to adopt a Cybersecurity Framework. The set of cybersecurity bills were signed into law on December 18, 2014. The National Cybersecurity Protection Act of 2014 establishes within the Department of Homeland Security (DHS) a...
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