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SEC publishes document on cybersecurity and resiliency

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Jan 27, 2020

On January 27, 2020, the Securities and Exchange Commission Commission's Office of Compliance Inspections and Examinations (OCIE) issued examination observations related to cybersecurity and operational resiliency practices taken by market participants.

The document discusses best practices for enhancing cybersecurity preparedness and operational resiliency. Topics addressed include the following:

  • Governance and risk management
  • Access rights and controls
  • Data loss prevention
  • Mobile security
  • Incident response and resiliency
  • Vendor management
  • Training and awareness

Review the press release and cybersecurity page on the SEC’s website.

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