Tag: Cybersecurity
OCIE Issues Observations of Cybersecurity and Operational Resiliency, Encourages Firms to Assess Cyber Practices January 28, 2020 After conducting thousands of examinations of investment advisers, broker-dealers, and other types...
January 28, 2020
Tags: OCIE, Cybersecurity
OCIE Warns of Increasingly Sophisticated Ransomware Attacks
OCIE Warns of Increasingly Sophisticated Ransomware Attacks July 13, 2020 The SEC’s examination staff has shared observations to assist investment advisers and others in enhancing their cybersecurity preparedness and...
July 13, 2020
Tags: OCIE, Cybersecurity, Risk Alert
2020 Investment Management Compliance Testing Survey: BCP Related to COVID-19 Now Top Compliance Co July 17, 2020 Business Continuity Planning related to COVID-19 is now the top concern of...
July 17, 2020
Tags: BCP, Compliance, Compliance Testing Survey, Coronavirus, COVID-19, Cybersecurity
OCIE Warns of Increased Cybersecurity Attacks Involving “Credential Stuffing”
The SEC’s Office of Compliance Inspections and Examinations (OCIE) has issued a Risk Alert on defenses against a cyber attack method called “credential stuffing” in which hackers take lists of...
September 23, 2020
Tags: OCIE, Cybersecurity, Risk Alert
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