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The threats to data have become so pervasive the U.S. Securities and Exchange Commission (SEC) has stepped in to address cybersecurity preparedness. In 2014, the SEC’s Office of Compliance Inspections and Examinations (OCIE) put forth its 2014 Examination Priorities and a Cybersecurity Roundtable was sponsored by the Commission in March. Commission Chair Mary Jo White emphasized the need to bridge the government and private sector and take steps to address the threats.
As a result, the SEC can now request information from registered organizations. Below is an outline what can be requested during an examination. Some questions and provisions are based on the NIST’s “Framework for Improving Critical Infrastructure Cybersecurity”.
The SEC requires firms to provide disclosure of their policies and procedures. This includes a look at governance practices, such as inventory of devices and systems/software. Maps of network resources, connections, and how resources are prioritized are also required. The Commission also asks for:
Are you worried about meeting the SEC OCIE Cybersecurity guidelines?
If you’re responsible for meeting the SEC guidelines, then Brainlink would like to offer you our SEC OCIE Compliance Assessment Toolkit.
This toolkit will enable us to rapidly, and thoroughly, assess your key exposures, and build a remediation and compliance plan.
(note, this offer is valid for firms based in NY, NJ, and CT)