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ARTICLE · 29 MARCH 2016

SEC And FINRA Identify Cybersecurity As 2016 Examination Priorities

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On January 5, FINRA released its annual Regulatory and Examination Priorities Letter, identifying cybersecurity as one of its enforcement priorities.

United StatesPrivacy
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Daniel McLoon
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Jonathon Little
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Kevin Lyles
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Adam Salter
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Michiru Takahashi
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Undine Von Diemar
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On January 5, FINRA released its annual Regulatory and Examination Priorities Letter, identifying cybersecurity as one of its enforcement priorities. In light of the "evolving nature of cyber threats," the regulator stated that it would review firms' approaches to cybersecurity risk management, focusing on topics like "governance, risk assessment, technical controls, incident response, vendor management, data loss prevention, and staff training." Likewise, on January 11, the Securities and Exchange Commission ("SEC") Office of Compliance Inspections and Examinations ("OCIE") announced its examination priorities for 2016. As it did in 2015, OCIE listed cybersecurity as a key initiative. The SEC stated that it will continue "to examine broker-dealers' and investment advisers' cybersecurity compliance and controls" by "testing and assessments of firms' implementation of procedures and controls."

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