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Regulatory

2021 SEC OCIE Cybersecurity Exam Priorities

Yesterday the U.S. Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE) released its 2021 exam priorities. In the letter the SEC highlighted that their focus remains the same from prior years with a slight shift in priorities and adjustment of focus. The SEC stated that they will review whether firms have

Elteni is shortlisted for Best Cybersecurity Solution – 2021 Fund Intelligence Operations and Services Award

OCIE issues a new Cybersecurity: Ransomware Alert

Today the OCIE issued a Ransomware Alert, highlighting an uptick in sophisticated social engineering and other cyber campaigns, designed to infiltrate the networks of financial institutions to access sensitive information and/or to deploy ransomware. As a reminder, ransomware actors typically demand monetary payment for the return of data. We can spend time regurgitating what was

Have you considered the work from home risks?

Have you made the decision to allow employees to work from home or are you still contemplating the idea? If work from home is or will be the preferred method for the unforeseeable future, there are some things you should do to maintain your compliance and security posture. Here are some risks you should be

The SEC’s OCIE Releases Their Observations From Examinations

On January 27, 2020 the Securities and Exchange Commission Commission's Office of Compliance Inspections and Examinations issued examination observations related to cybersecurity and operational resiliency practices undertaken by market participants. We reviewed this alert and simplified it into major points that are easily digestible. The OCIE provided the following observations: Governance and Risk Management Senior leadership is

2020-12-31T18:43:45-05:00January 30th, 2020|Cyber, Regulatory, SEC|

CFTC issues alerts and expects responses!

In December 2019, the U.S. government issued indictments against two hackers who were allegedly involved in a multiyear effort to penetrate the systems of several IT Vendors and Managed Services Providers (MSPs). The attack known today as the “Cloud Hopper Mega Hack” was first noticed in 2016, as indicated by the Wall Street Journal. Preview

2020-12-31T18:43:52-05:00January 9th, 2020|CFTC, Cyber, OCIE, Regulatory, SEC|
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