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ARTICLE · 05 FEBRUARY 2019

U.S. Financial Industry Regulatory Authority Releases Report On Selected Cybersecurity Practices

McCarthy Tétrault
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In December 2018, the Financial Industry Regulatory Authority (FINRA) released its Report on Selected Cybersecurity Practices (the Report).

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In December 2018, the Financial Industry Regulatory Authority (FINRA) released  its Report on Selected Cybersecurity Practices (the Report).  FINRA is a self-regulatory association that oversees brokerage firms and exchange markets in the United States.  The Report covers the areas of Branch Controls, Phishing, Insider Threats, Penetration Testing, and Mobile Devices.  These recommendations are significant both for Canadian broker-dealers who operate in the United States as well as Canadian firms looking to implement industry best practices for Cybersecurity and Data Protection. 

Canadian Broker-Dealers are already familiar with Cybersecurity requirements including Cybersecurity Best Practices released by the Investment Industry Regulatory Organization of Canada (IIROC).

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