TITLE

SEC, FINRA Want to Know Your Cybersecurity Plan

AUTHOR(S)
Corbin, Kenneth
PUB. DATE
July 2015
SOURCE
Financial-planning.com;7/16/2015, p6
SOURCE TYPE
Periodical
DOC. TYPE
Proceeding
ABSTRACT
The article discusses the highlights of a broker-dealer compliance forum co-hosted by the U.S. Securities and Exchange Commission and the Financial Industry Regulator Authority in July 2015, focusing on cybersecurity. The two regulators expect brokers and advisors to have more formal policies and procedures on cybersecurity to protect sensitive information. It notes that FINRA's February 2015 security exams report provides guidance for firms developing a cybersecurity program.
ACCESSION #
108461150

 

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