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The latest sweep exam letter reveals a growing sophistication in OCIE’s grasp of cybersecurity
Examiners request extensive documents, including P&Ps and due diligence on cloud vendors
Keep an eye out for account takeover schemes and new account fraud
In financial services, the role of protecting firms can’t be compliance’s alone. Senior leaders must feel “a sense of urgency"
The form of cyber-attack employs compromised client login credentials
Proposed Rule 15(a)(2) would specify that the Commission may prevent the submission to EDGAR of any submission that poses a cybersecurity threat, including but not ...
OCIE encourages registrants to consider reviewing and updating their Regulation S-P and Regulation S-ID policies and programs to address the emergent risk of credential stuffing
“Assume that you made a mistake or someone else will make a mistake and have layers of defense,” asserts Ingalsbe
“Data classification is right there in the beginning with risk analysis” when starting to confront cyber threats
This is a cybersecurity checklist shared with permission of ISO Services

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