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You are viewing ARCHIVED CONTENT released online between 1 April 2010 and 24 August 2018 or content that has been selectively archived and is no longer active. Content in this archive is NOT UPDATED, and links may not function.By James Hampshire
In April the US Securities and Exchange Commission’s Division of Investment Management released cybersecurity guidance for registered investment firms and advisors. It was hardly a surprise. The SEC has shown increasing interest in cybersecurity in recent years, urging publicly traded companies to discuss cyber risks and disclose data breaches in public filings. And last year the SEC’s Office of Compliance Inspections and Examinations conducted a survey of registered broker-dealers investment advisers to establish a baseline of their cybersecurity standards.
The new SEC guidelines are thankfully simple and clear, and firms can implement them by taking a four-step approach.
Read the complete article at: Four Steps To Implementing New SEC Cybersecurity Guidelines