They’re Baaaack . . . SECs Office of Compliance Inspections and Examinations Releases New Cybersecurity Risk Alert
Posted on Sep 16, 2015 in Financial Services | Comments Off on They’re Baaaack . . . SECs Office of Compliance Inspections and Examinations Releases New Cybersecurity Risk Alert
Yesterday, the U.S. Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE) released a Risk Alert describing OCIE’s 2015 cybersecurity exam initiative. [link to www.sec.gov/ocie/announcement/ocie-2015-cybersecurity-examination-initiative.pdf]. As the Risk Alert notes, OCIE’s new cybersecurity initiative builds on information OCIE learned from...
NAIC Cybersecurity Forum Focuses on Escalating Threats and Best Remediation Practices
Posted on Sep 14, 2015 in Insurance | Comments Off on NAIC Cybersecurity Forum Focuses on Escalating Threats and Best Remediation Practices
On September 10, the National Association of Insurance Commissioners (NAIC) co-sponsored a cybersecurity forum at the Center for Strategic and International Studies in Washington, DC. Featuring an impressive line-up of senior government officials and knowledgeable experts, the forum aimed to increase understanding of the escalating threat environment, emerging best practices in cyber...
Sutherland and the Financial Services Institute Complete Benchmarking Survey on Cybersecurity Practices
Posted on Jul 15, 2015 in Financial Services | Comments Off on Sutherland and the Financial Services Institute Complete Benchmarking Survey on Cybersecurity Practices
WASHINGTON—Sutherland Asbill & Brennan LLP and the Financial Services Institute (FSI) have completed a survey of FSI members concerning cybersecurity issues. The survey included responses from 39 broker-dealers (92% of which were dually registered as investment advisers), ranging in size from fewer than 100 registered representatives to more than 2,000. The survey covered a variety...
Sutherland Conducts Extensive Cybersecurity Survey of Broker-dealers
Posted on Jun 18, 2015 in Financial Services | Comments Off on Sutherland Conducts Extensive Cybersecurity Survey of Broker-dealers
Sutherland attorneys Brian Rubin and Charlie Kruly, along with the Financial Services Institute (FSI), the trade association for independent contractor broker-dealers, recently conducted a survey of the cybersecurity practices of FSI members. The survey covered many aspects of cybersecurity governance, including vendor management, technical safeguards, and cybersecurity policies and...
Hackers Gonna Hack—FINRA’s Report on Cybersecurity Practices Assists Firms in Responding to Threats
Posted on Feb 5, 2015 in Financial Services | Comments Off on Hackers Gonna Hack—FINRA’s Report on Cybersecurity Practices Assists Firms in Responding to Threats
On February 3, 2015 the Financial Industry Regulatory Authority (FINRA) released its long-awaited Report on Cybersecurity Practices, a broad overview of the state of play in the cybersecurity arena for broker-dealers. (Although FINRA has examined only broker-dealers, its Report is helpful for the entire securities industry.) The Report is the culmination of FINRA’s 2014 targeted...
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