Tag: Cybersecurity
OCIE Warns of Increasingly Sophisticated Ransomware Attacks
The SEC’s examination staff has shared observations to assist investment advisers and others in enhancing their cybersecurity preparedness and operational resiliency against a recent spate of ransomware attacks.
July 13, 2020
Tags: OCIE, Cybersecurity, Risk Alert
The CCO in a High Tech World: Insights from the IAA Compliance Conference
The challenges of overseeing compliance and risk in an ever-changing technology environment were top of mind at this year’s IAA Compliance Conference.
July 10, 2020
Tags: Privacy, Compliance Conference, Cybersecurity, Technology
The SEC’s Divisions of Investment Management and Trading and Markets have issued a statement providing no-action relief from failure to deliver certain international adviser and fund communications.
June 25, 2020
Tags: Form ADV, Privacy, Coronavirus, COVID-19, Cybersecurity, Form CRS, Investment Company
A Primer on the Difference Between Cyber and Financial Institution Fidelity Bond Insurance Policies
With the rise in IAA annual survey respondent confirmations of having had a “cybersecurity incident” reaching 39 percent in 2019 as compared to 18 percent in 2016, getting the answer to the question of “Do I have the right coverage?” is an increasingly important consideration.
February 10, 2020
Tags: Columns, Cybersecurity, Guest Column, Insurance
While emphasizing that one size does not fit all, OCIE staff encourages investment advisers and others to reflect on their own cybersecurity practices and incorporate OCIE’s observations into their assessments.
January 28, 2020
Tags: OCIE, Cybersecurity
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