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Cybersecurity

Your local coffee shop may produce a quality cup of joe and offer you free Wi-Fi but be cautious that the service doesn’t come with ...
During recent examinations, the Office of Compliance Inspections and Examinations (“OCIE”)∗ identified security risks associated with the storage of electronic customer records and information by ...
Cybersecurity concerns have driven OCIE May 23 to release a new risk alert urging investment advisers and broker-dealers to “actively oversee any vendors” providing cloud ...
Cybersecurity-related deficiencies are “a top concern” of securities examiners across the North American Securities Administrators Association’s jurisdictions. That alarm bell sounded in NASAA’s Investment Adviser ...
It is critical that the CFTC continues to work positively with its overseas regulatory counterparts, not just in the UK, but in all financial centers. ...
OCIE Director Pete Driscoll
Strong compliance programs incorporate legal requirements and essential controls that are periodically reviewed and updated. As firms are confronted with technology-driven changes, new regulatory requirements, ...
The frequency of broker-dealers being victimized by imposter websites created to commit financial fraud appears to be rising. The alarming trend—whereby malicious parties design websites ...
Wi-Fi can be so convenient – yet so risky.   OCIE’s new risk alert on Reg S-P warns of the use of “unsecure networks,” noting ...
John Brennan, head of technology at Highfields Capital Management in Boston gives us permission to share his IS policy as reprinted in the book, The ...
Match your skill set against the ideal qualities of an effective CCO. Begin with knowing the Advisers Act, being empowered to enforce your firm’s compliance ...
A source passes on to us the document request letter that went to an adviser as part of OCIE's third cybersecurity sweep exam.
Last month we reported that the SEC’s latest cybersecurity sweep exam is in full swing (IA Watch, March 14, 2019). Now IA Watch shares with ...
The latest twist in OCIE’s ongoing interest in how you’re protecting your firm’s cybersecurity plunges into how deeply you’re scrutinizing your vendors’ cyber protections.  Ben ...
The International Securities Services Association grants IA Watch approval to share with you its cybersecurity glossary. It urges you to visit its web pages: https://www.issanet.org/e/pdf/2018-10_ISSA_Cyber_Risk_in_Securities_Services.pdf ...
This is a glossary of key cybersecurity terms.
OCIE chalked up more than 2,000 IA exams in FY 2018, visiting 17% of all firms. These numbers may be out of reach in FY ...
The benefits of self-reporting to the SEC can be seen in the latest Commission enforcement action involving an unregistered initial coin offering. A Washington, D.C.-based ...
FINRA is warning brokerage firms to keep an eye out for a fraudulent “phishing” e-mail scheme aimed at compliance personnel. An e-mail making the rounds ...
FINRA’s recently released 2019 Risk Monitoring and Examination Priorities letter takes a new tact this go round by emphasizing new focus areas not noted in ...
The unidentified public company uploaded a “test filing” that revealed its second quarter earnings to the SEC’s EDGAR system at 3:32 p.m. on a Thursday ...
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