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.
Listen to the podcast below:
You can also download this podcast by right clicking here and selecting save as.
- Insurance Considerations for Investment Advisers
- Custody – Get It Right: Just in Time for Your Annual Updating Amendment!
- SEC and FINRA 2018 Examination Priorities
Recent ComplianceCast™ Minutes