News & Insights: Cyber Solutions

OCIE Warns Advisers and Broker-Dealers of Regulation S-P Compliance Issues

Regulation S-P requires registered investment advisers, investment companies, and broker-dealers to provide notice to customers and maintain written records of policies and procedures related to information privacy.

FINRA Releases Report on Selected Cybersecurity Practices

On December 20, 2018, the Financial Industry Regulatory Authority (FINRA) released a Report on Selected Cybersecurity Practices (the “2018 Report”).  In it, FINRA outlines five topics of focus.

ShareFile Accounts to Switch to Multi-Factor Authentication

The SEC’s Office of Compliance Inspections and Exams (“OCIE”) has announced that cybersecurity will continue to be a focal point for its examinations in 2019. 

OCIE Issues Risk Alert Outlining New Recommendations for Electronic Communications

On December 14th, 2018, the SEC’s OCIE released a Risk Alert reminding advisers of their obligations regarding the use of electronic messaging.

SEC Charges Adviser for Lacking Cybersecurity Procedures

SEC charges broker-dealer for failure to provide adequate cybersecurity policies and procedures. Contact us for help developing SEC-compliant policies.

The National Institute for Standards and Technology Updates Cybersecurity Framework

The National Institute for Standards and Technology (NIST) released an updated version of its Cybersecurity Framework, known as version 1.1. 

SEC Office of Compliance Inspections and Examinations to Release New Cyber Exam Initiative

On March 22nd, Peter Driscoll, OCIE Director, announced plans for its third cybersecurity sweep exam in four years. The next cyber initiative will focus on advisers who maintain remote offices and advisers that have merged firms.

SEC Spoofed Emails Used In Spear Phishing Attack

Cisco’s Talos Intelligence Group has identified a targeted cyber-attack focusing on specific organizations. 

SEC Provides Updates from Investigation of 2016 Cyber Intrusion

The SEC provided an update on its ongoing staff investigation of the 2016 cyber intrusion into the EDGAR system.

SEC Creates Cyber Unit and Retail Strategy Task Force

On September 25, 2017, the SEC announced the creation of the Enforcement Division’s Cyber Unit and Retail Strategy Task Force.

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