Cybersecurity Sweep Exams

On April 15th the SEC published OCIE Cybersecurity Initiative, a Risk Alert to provide information about its “initiative to assess cybersecurity preparedness in the securities industry.”

Included in this Risk Alert is a four page sample list (Appendix) of information that may be requested as part of its examination regarding cybersecurity matters.  This Risk Alert and accompanying Appendix can be found at:

Take a look and get ready to add yet another policy to your Compliance Manual.

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