The U.S. Securities and Exchange Commission (SEC) this week published a report detailing cybersecurity and operational resiliency practices that market participants have adopted. The 10-page document ( PDF ) contains observations from the SEC's Office of Compliance Inspections and Examinations (OCIE) that are designed to help other organizations improve their cybersecurity stance. OCIE examines SEC-registered organizations such as investment advisers, investment companies, broker-dealers, self-regulatory organizations, clearing agencies, transfer agents, and others. Through its reviews, OCIE has observed approaches that some organizations have taken in areas such as governance and risk management, access rights and controls, data loss prevention, mobile security, incident response and resiliency, vendor management, and training and awareness. Observed risk management and governance measures include senior level engagement, risk assessment, testing and monitoring, conti...
