Eversheds Sutherland Cybersecurity and Privacy Insights Blog
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Cybersecurity Announced as a 2015 Exam Priority by the SEC and FINRA

In January 2015, the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) each announced their 2015 examination priorities, and both agencies emphasized cybersecurity as a primary exam focus (SEC Examination Priorities, FINRA Examination Priorities). The SEC has designated cybersecurity as a market-wide risk in its examination priorities...

Not All Firms May Be Ready to Tell Cyberattackers to “Go Ahead Make My Day”

Two reports on cybersecurity compliance issued during 2014, a preliminary unofficial report of findings from the SEC’s cybersecurity sweep and the North American Securities Administrators Association (“NASAA”) report on the findings of its cybersecurity survey of state-registered “small and mid-sized” investment advisors contain excellent insight into how firms are protecting...

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