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ARTICLE · 22 JANUARY 2019

FINRA 2018 Report On Selected Cybersecurity Practices

Duff and Phelps
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On December 20, 2018 FINRA published its Report on Selected Cybersecurity Practices – 2018, detailing FINRA's observations regarding effective information-security practices implemented at securities

United StatesTechnology
Peter Wilson
Peter Wilson
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On December 20, 2018 FINRA published its Report on Selected Cybersecurity Practices – 2018, detailing FINRA’s observations regarding effective information-security practices implemented at securities firms.

The report focuses on five topics:

  • Cybersecurity controls in branch offices; 
  • Methods of limiting phishing attacks; 
  • Identifying and mitigating insider threats;
  • Elements of a strong penetration-testing program; and
  • Establishing and maintaining controls on mobile devices.

Branch Controls

  • FINRA observed firms facing challenges maintaining effective cybersecurity controls at their branch locations.
  • FINRA recommends firms evaluate whether they need to enhance their branch-focused cybersecurity measures to maintain robust cybersecurity controls to protect customer information across their organizations. 

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