By Will R. Daugherty and Caroline B. Brackeen on Posted in Financial Privacy
The Financial Industry Regulatory Authority (FINRA) has issued its “Report on Selected Cybersecurity Practices – 2018” to provide further guidance to broker-dealer firms in developing and improving their cybersecurity programs. The report piggybacks on FINRA’s 2015 “Report on Cybersecurity Practices” by identifying five common cybersecurity risks and outlining recommended practices addressing these risks: • Branch … Continue Reading
On September 15, 2015, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) issued a National Exam Program Risk Alert (2015 Risk Alert) to provide broker-dealers and investment advisers with information on the focus areas of its upcoming round of cybersecurity examinations. OCIE is building on its previous cybersecurity examinations to increase … Continue Reading
