United States:
SEC OCIE Issues Risk Alert With Observations From Cybersecurity Examinations
19 September 2017
by
Daniel J. McLoon
,
Mauricio Paez
,
Richard Johnson
,
Jonathon Little
,
Kevin Lyles
,
Todd McClelland
,
Jeff Rabkin
,
Lisa M. Ropple
,
Adam Salter
,
Michiru Takahashi
,
Undine Von Diemar
,
Olivier Haas
,
Jörg Hladjk
and
Anand Varadarajan
Jones Day
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On August 7, OCIE staff released a risk alert containing the staff's
observations from its Cybersecurity 2 Initiative, an examination of
75 investment advisers, broker dealers, and investment companies to
assess industry practices and legal and compliance issues related
to cybersecurity preparedness. While the staff noted a general
increase in preparedness among the firms it examined, it also
observed a number of issues that firms should consider in order to
improve their cybersecurity policies and procedures.
The content of this article is intended to provide a general
guide to the subject matter. Specialist advice should be sought
about your specific circumstances.
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