Cybersecurity Guidance

Ahead of Round 2 of the SEC’s Cybersecurity Sweep Exam, we now have guidance regarding what they might be looking for when they come to visit.

They recommend the following:

  • Conduct a periodic assessment to identify potential cybersecurity threats and vulnerabilities so as to better prioritize and mitigate risks.
  • Create a strategy that is designed to prevent, detect and respond to cybersecurity threats.
  • Implement the strategy through written policies and procedures and training that provide guidance to officers and employees.

The entire Guidance Update can be found at


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