Six Ways to Be Prepared for the SEC’s Focus on Cybersecurity and Resiliency

Any financial services firm committed to cybersecurity should be regularly reevaluating and revising firm policies and procedures to adequately align with the cybersecurity guidelines provided by supervisory governing bodies, as well as investor operational due diligence initiatives. The SEC, via the Office of Compliance Inspections and Examinations (OCIE), recently released its 2020 examination priorities and, separately, a report on firm resiliency. In this guest article, Martin Passante, an associate at Drawbridge Partners, provides six important steps to take in light of these two documents. See “Preparing for the Latest SEC Cyber Sweeps” (Jun. 26, 2019).

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