Cybersecurity Compliance A Top SEC Priority In 2016
By Steven Trader (January 13, 2016, 6:21 PM EST) -- Assessing cybersecurity compliance and implementation by broker-dealers and investment advisers is a top focus of the Securities and Exchange Commission in 2016, according to a list of priorities released by the agency's Office of Compliance Inspections and Examinations on Monday, as is protecting investors and those saving for retirement.
Following the September 2015 launch of an initiative designed to look at broker-dealers and investment advisers' cybersecurity compliance and controls — including governance and risk assessment processes, in-house communication and safeguards controlling access to systems — the agency said Monday it will continue to advance that effort through testing and evaluations of...
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