In this ComplianceCasts Minute, Ascendant consultants Jackie Hallihan and Eugenie Warner discuss the results of the SEC’s Cybersecurity Sweep Exam. Covering how firms identify cybersecurity risks, establish cybersecurity policies, procedures and oversight processes and more, the cybersecurity sweep is just the beginning as OCIE’s 2015 Examination Priorities indicate that cybersecurity will again be a risk area of focus for SEC Examinations in 2015. Does your firm have a WISP? That’s just one of the many questions compliance should be asking.
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- SEC and FINRA 2019 Examination Priorities
- Highlights of 2018: Predictions for 2019
- Compliance Considerations for Dual Registrants
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