SEC Cybersecurity Initiative: Five Steps ALL Broker-Dealers and Investment Advisers Should be Taking — Privacy & Security Matters

By Securities Docket on May 13, 2014, 10:50 am

Last week, the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) released a Risk Alert announcing its Cybersecurity Initiative. What does this mean to broker-dealers and investment advisers and, even if you are not one of the “chosen 50,” what should your firm be doing?

via SEC Cybersecurity Initiative: Five Steps ALL Broker-Dealers and Investment Advisers Should be Taking — Privacy & Security Matters.