SEC Fires the Second Round on Cyber Exams

The Future of The SEC Exam is Here. How to Respond to the New Request. Last week the SEC Office of Compliance Inspections and Examinations (“OCIE”) released its second Cybersecurity Examination Initiative; the first shot was fired in April, 2014 and was more commonly referred to as the “Cybersecurity Sweep Document Request.” [...]

By |2018-01-20T12:02:14-04:00September 22nd, 2015|Cyber Security|0 Comments

Boards and C-Suites in Shareholders’ Legal Crosshairs for Data Breaches

Boards and C-Suites in Shareholders' Legal Crosshairs for Data Breaches As companies attempt to balance data security and privacy with data utility, security breaches have exploded in frequency.  Hardly a month passes without headlines of a business experiencing a data breach involving the unauthorized disclosure of consumers’ personal and financial information.  These [...]

By |2018-01-20T12:05:35-04:00September 16th, 2015|Data Protection|0 Comments

Logical Encryption For Your Firm

Logical Encryption Controls to Secure Your Firm Encryption is all the rage today. Regulators are asking firms about their encryption policies, and those who do not have well-executed strategies can find themselves at risk of examination deficiencies or enforcement. With NSA spying allegations, the general public has begun to understand that encryption [...]

By |2018-01-22T11:39:11-04:00September 8th, 2015|Cyber Security, Data Protection, Encryption|0 Comments

Why Investment Advisers Should Care About FINRA

SEC Risk-Based Exam Navigation Utilize FINRA’s RCA Survey for SEC Examination Prep Many Investment Advisers pay little attention to the Financial Industry Regulatory Authority’s guidance and news items.  This is a mistake, not only because FINRA has been out in front on issues such as Business Continuity, Identity Theft, AML, and Cybersecurity, [...]

By |2018-01-22T11:41:27-04:00September 1st, 2015|Cyber Security|0 Comments