Join us for an exploration into the world of Cybersecurity as we review a Compliance Officer’s Guide to what Regulators expect.
Cybersecurity continues to be an area of focus for the SEC’s Office of Compliance Inspections and Examinations (OCIE), and FINRA. Today, financial firms of all sizes are under pressure from both hackers and regulators to address the ever-increasing threats from cyber-attacks. Firms like yours experience attacks every day — from a few to a few hundred. When attacks succeed, they often go unnoticed for three to six months. During that time, data may be stolen and penalties incurred. We’ll delve into effective solutions for firms that want to safeguard their data, their reputations, and their profit margins.