SEC Unveils Layout For Cybersecurity Examinations

Law360, New York (April 17, 2014, 5:19 PM EDT) -- The U.S. Securities and Exchange Commission has outlined a plan to conduct a series of examinations of Wall Street firms in order to assess their readiness to prevent and respond to attacks on cybersecurity, according to documents released Wednesday.

As part of the commission’s initiative to probe the state of cybersecurity preparedness in the securities industry, the SEC said it plans to question over 50 registered broker-dealers and investment advisers on topics such as cybersecurity governance, risks associated with remote customer access, and risks associated with vendors and third parties.

“These examinations will help identify areas where the commission and the...

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