OCIE Provides Cybersecurity Best Practices Identified in Examinations


Cybersecurity has been a key priority for the SEC and its Office of Compliance Inspections and Examinations (OCIE) in recent years. The OCIE regularly releases publications addressing cybersecurity risks and practices, including eight risk alerts related to cybersecurity since 2012.

In the latest example, OCIE recently published its Cybersecurity and Resiliency Observations Report, describing 34 best practices culled from its assessment of thousands of past examinations of SEC registrants.

In this client alert, we highlight the top ten controls recommended in the report that have been relevant in...

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